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On the Restriction of Cuspidal Representations to Unipotent Elements Cohomology of Arithmetic Groups, L-functions
Dipendm Prasad and Nilabh Sanat .............................. 197 and Autpmorphic Forms
Nonvanishing of Symmetric Square L-functions of Cusp Forms Inside
the Critical Strip
W . Kohnen and J. Sengupta .................................... .202 Mumbai, December 1998 - January 1999.
Mr. V. Nandagopal carried out the difficult task of converting into one
format, the manuscripts which were typeset in different styles and software.
Mr. D.B. Sawant and his colleagues at the School of Mathematics office
helped in the organization of the Conference with their customary efficiency.
Converse Theorems for GL, and Their
Application to Liftings*
Riemann did for the zeta function [(s) [57], what Siege1 did in his analytic for Re(s) > 1, has a meromorphic continuation such that P(s)D(s) is an
theory of quadratic forms [60], and, in essence, what Wiles did [67]. entire function of finite order for some polynomial P ( s ) , and satisfies the
In light of this, it is natural to ask in what sense these analytic properties same functional equation as the Riemann zeta function [(s), then in fact
of the L-function actually characterize those L-functions coming from auto- D(s) = c<(s) for some constant c. In essence, the Ftiemann zeta function
morphic representations. This is, at least philosophically, what a converse is characterized by its basic analytic properties, and in particular its func-
theorem does. tional equation. This was later extended to L-functions of Hecke characters
In practice, a converse theorem has come to mean a method of determin- by Gurevic [20] using the methods of Tate's thesis. These are essentially
ing when an irreducible admissible representation ll = @TI, of GL,(A) is converse theorems for GL1.
automorphic, that is, occurs in the space of automorphic forms on GLn(A), While not the first converse theorem, the model one for us is that
in terms of the analytic properties of its L-function L(ll, s) = n, L(&, s). of Hecke [23]. Hecke studied holomorphic modular forms and their L-
The analytic properties of the L-function are used to determine when the
*
functions. If f (T) = Cr=lane2"inTis a holomorphic cusp form for SL2(Z),
collection of local representations {II,) fit together to form an automor- its L-function is the Dirichlet series L(f, s) = Cr=,~ , n - ~Hecke
. related
phic representation. By the recent proof of the local Langlands conjecture the modularity of f to the analytic properties of L(f, s) through the Mellin
by Harris-Taylor and Henniart [22], [24], we now know that to a collec- transform
tion {a,) of n-dimensional representations of the local Weil-Deligne groups
we can associate a collection {II,) of local representations of GLn(kv),
and thereby make the connection between the practical and philosophical
aspects of such theorems. and from the modularity of f (T) was able to show that A(f , s) was nice
The first such theorems in a representation theoretic frame work were in the sense that it converged in some right half plane, had an analytic
proven by Jacquet and Langlands for GL2 [30], by Piatetski-Shapiro for continuation to an entire function of s which was bounded in vertical strips,
GLn in the function field case [51], and by Jacquet, Piatetski-Shapiro, and and satisfied the functional equation
Shalika for GL3 in general [31]. In this paper we would like to survey what
we currently know about converse theorems for GL, when n 2 3. Most of
the details can be found in our papers [4], [5], [6]. We would then like to
where k is the weight of f . Moreover, via Mellin inversion Hecke was
relate various applications of these converse theorems, past, current, and
able to invert this process and prove a converse theorem that states if a
future. Finally we will end with the conjectures of what one should be able
Dirichlet series D(s) = Cr=larm-" is "nice" then the function f (T) =
to obtain in the area of converse theorems along these lines and possible 00
ane2"'"' is a cusp form of weight k for SL2(Z). Besides dealing with
applications of these.
cusp forms, Hecke also allowed his L-functions to have a simple pole at
This paper is an outgrowth of various talks we have given on these
s = k corresponding to the known location of the pole for the Eisenstein
subjects over the years, and in particular our talk a t the International Con-
series. Hecke's method and results were generalized to the case of M d
ference on Automorphic Forms held a t the Tata Institute of Fundamental
wave forms, i.e. non-holomorphic forms, by MaaB [45], still for full level.
Research in December 1998/ January 1999. We would like to take this
In the case of level, i.e., f (7)cuspidal for rO(N), Hecke investigated
opportunity to thank the TIFR for their hospitality and wonderful working
the properties of the L-function L(f, s) as before but did not establish a
environment.
converse theorem for them. This was done by Weil [65], but he used not
We would like to thank Steve Rallis for bringing to our attention the just L(f, s) but had to assume that the twisted L-functions L(f x X,s) =
early work of MaaD on converse theorems for orthogonal groups [46]. xF==, a,x(n)n-" were also nice for sufficiently many Dirichlet characters
X . In essence, r o ( N ) is more difficult to generate and more information
was needed to establish the modularity of f (T) = En=, 00
ane2"inT. In Weil's
1 A bit of history - mainly n = 2 paper he required control of the twists for x which were unramified at the
level N .
The first converse theorem is credited to Hamburger in 1921-22 [21]. Ham- Many authors have refined the results of Hecke and Weil for the case
burger showed that if you have a Dirichlet series D(s) which converges of GL2 in both the classical and representation theoretic contexts. Jacquet
Cogdell and Piatetski-Shapiro 5
4 Converse Theorems for GL, and application to liftings
To state these converse theorems, we begin with an irreducible admis-
and Langlands [30] were the first to cast these results as result in the theory sible representation ll of GL,(A). It has a decomposition l l = @'ITv,
of automorphic representations of GL2. Their result is a special case of where Itv is an irreducible admissible representation of GLn(kv). By the
Theorem 2.1 below. They required control of the twisted L-functions for local theory of Jacquet, Piatetski-Shapiro, and Shalika [33], [36] to each II,
all x. is associated a local L-function L(IIv,s) and a local &-factor e(IIv,s, +,).
Independently, Piatetski-Shapiro [49] and Li [43], [44] established a con- Hence formally we can form
jecture of Weil that in fact one only needed to control the twisted L-function
for x that were unramified outside a finite set of places. They also showed
that in addition one could limit the ramification of the x a t the places divid-
ing the conductor N. Piatetski-Shapiro also noted that over Q one in fact
only needed to control the twisted L-function for a well chosen finite set of We will always assume the following two things about II:
X, related to the finite generation of ro(N). This was also shown later by 1. L(n, s) converges in some half plane Re(s) >> 0,
Razar in the classical context [56]. More recently, Conrey and Farmer [lo]
have shown in the classical context that for low levels N on can establish 2. the central character wn of II is automorphic, that is, invariant under
a converse theorem with no twists as long as one requires the L-function kX.
L( f , s) to have a Euler factorization at a well chosen finite number of places. Under these assumptions, e(n, s , $) = E (II,s) is independent of our choice
This method replaces the use of the twisted L-function with the action of
of @ [41.
the Hecke operator a t these places and requires fairly precise knowledge of As in Weil's case, our converse theorems will involve twists but now by
generators for ro(N) . cuspidal automorphic representations of GL, (A) for certain m. For con-
There are also several generalization of Hecke's and MaaP results on venience, let us set A(m) to be the set of automorphic representations of
converse theorems with poles. In her papers [43], 1441, Li allowed her L- GL, (A), (m) the set of (irreducible) cuspidal automorphic representa-
functions to have a finite number of poles at the expected locations. As a tions of GL, (A), and 7 ( m ) = Uy=l Jlo(d). (We will always take cuspidal
consequence, she was able to derive the converse theorem for GL1 of Gurevic representations to be irreducible.)
from her GL2 theorem allowing poles [44]. More recently, Weissauer [66] Let r = 8'7, be a cuspidal automorphic representation of GL,(A) with
and Raghunathan [53] have established converse theorems in the classical m < n. Then again we can formally define
context allowing for an arbitrary finite number of poles by using group
cohomology to show that the functional equation forces the poles to be at
the usual locations.
In what follows we will be interested in converse theorems for GL, with
>
n 3. We will present analogues of the theorem of Hecke-Weil-Jacquet- since again the local factors make sense whether I I is automorphic or not.
A consequence of (1) and (2) above and the cuspidality of r is that both
Langlands requiring a full battery of twists, the results of Piatetski-Shapiro
and Li requiring twists that are unramified outside a finite set of places, and L(ll x T , S) and L(fI x 7, s) converge absolutely for Re(s) >> 0, where fI and
results that require twisting by forms on GLn-2 which have no analogues ? are the contragredient representations, and that ~ ( lx lr, s) is independent
for GL2. At present there are no results that we know of for GL, in general of the choice of 1C,.
which allow for only a finite number of twists nor allowing poles. Both of We say that L(II x r, S) is nice if
these would be very interesting problems. 1. L ( n x r, s) and L(fI x i,s) have analytic continuations to entire func-
tions of s,
2 The theorems 2. these entire continuations are bounded in vertical strips of finite width,
3. they satisfy the standard functional equation
Let k be a global field, A its adele ring, and 1C, a fixed non-trivial (contin-
uous) additive character of A which is trivial on k. We will take n 2 3 to
be an integer.
6 Converse Theorems for GL, and application to liftings Cogdell and Piatetski-Shapiro 7
The basic converse theorem for GL, is the following. Theorem 2.4 Let II be an irreducible admissible representation of GLn(A)
above. Let S be a non-empty finite set of places, containing S,, such
Theorem 2.1 Let II be an irreducible admissible representation of GL,(A) that the class number of the ring os of S-integers is one. Suppose that
as above. Suppose that L(II x T,s) is nice for all T E T ( n - 1). Then II is L(II x 7,S ) is nice for all T E Ts(n - 1). Then II is quasi-automorphic in
a cuspidal automorphic representation. the sense that there is an automorphic representation II' such that II, E IIL
for all v E S and all v 4 S such that both II, and Il; are unramified.
In this theorem we twist by the maximal amount and obtain the strongest
possible conclusion about II. As we shall see, the proof of this theorem There are several things to note here. First, there is a class number
essentially follows that of Hecke and Weil and Jacquet-Langlands. It is of restriction. However, if k = Q then we may take S = S , and we have
course valid for n = 2 as well. a converse theorem with "level 1" twists. As a practical consideration,
For applications, it is desirable to twist by as little as possible. There if we let Sn be the set of finite places v where n, is ramified, then for
are essentially two ways to restrict the twisting. One is to restrict the rank applications we usually take S and Sn to be disjoint. Once again, we are
of the groups that the twisting representations live on. The other is to losing all information at those places v 4 S where we have restricted the
restrict ramification. ramification unless II, was already unramified there.
When we restrict the rank of our twists, we can obtain the following The proof of Theorem 2.1 essentially follows the lead of Hecke, Weil,
result. and Jacquet-Langlands. It is based on the integral representations of L-
functions, Fourier expansions, Mellin inversion, and finally a use of the
Theorem 2.2 Let II be an irreducible admissible representation of GL,(A) weak form of Langlands spectral theory. For Theorems 2.2 2.3 and 2.4,
as above. Suppose that L(II x T, s ) is nice for all T E T ( n - 2). Then II is where we have restricted our twists, we must impose certain local conditions
a cuspidal automorphic representation. to compensate for our limited twists. For Theorems 2.2 and 2.3 there
are a finite number of local conditions and for Theorem 2.4 an infinite
This result is stronger than Theorem 2.1, but its proof is a bit more number of local conditions. We must then work around these by using
delicate. results on generation of congruence subgroups and either weak or strong
The theorem along these lines that is most useful for applications is one approximation.
in which we also restrict the ramification at a finite number of places. Let
us fix a finite set S of finite places and let ~ ~ ( denote
m ) the subset of T(m)
consisting of representations that are unramified at all places v E S . 3 The integral representation
Let us first fix some standard notation. In the group GLd we will let
Theorem 2.3 Let II be an irreducible admissible representation of GL,(A) Nd be the subgroup of upper triangular unipotent matrices. If $ is an
as above. Let S be a finite set of finite places. Suppose that L(II x 7, s ) is additive character of k, then $J naturally defines a character of Nd via
nice for all T E TS(n - 2). Then II is quasi-automorphic in the sense that + +
$(n) = $J(nl,a . - . nd-l,d) for n = (ni,j) E Nd. We will also let Pd
there is an automorphic representation II' such that II, E II; for all v 4 S . denote the mirabolic subgroup of GLd which fixes the row vector ed =
(0,. . . ,0,1)E kd. It consists of all matrices p E GLd whose last row is
Note that as soon as we restrict the ramification of our twisting repre-
sentations we lose information about II at those places. In applications we
(0,. . . ,0,1). For m < n we consider GL, embedded in GL, via the map
usually choose S to contain the set of finite places v where II, is ramified.
The second way to restrict our twists is to restrict the ramification at
all but a finite number of places. Now fix a non-empty finite set of places S
which in the case of a number field contains the set S , of all Archimedean The first basic idea in the proof of these converse theorems is to invert
places. Let Ts(m) denote the subset consisting of all representations T in the integral representation for the L-function. Let us then begin by recall-
T(m) which are unramified for all v 4 S . Note that we are placing a grave ing the integral representation for the standard L-function for GL, x GL,
restriction on the ramification of these representations. where m < n [34], [9]. So suppose for the moment that II is in fact a
8 Converse Theorems for GL, and application to liftings Cogdell and Piatetski-Shapiro
cuspidal automorphic representation of GLn(A) and that T is a cuspidal If we substitute for <(g) its Fourier expansion [50], [59]
<
automorphic representation of GL,(A). Let us take E Vn to be a cusp
form on GL,(A) and cp E V, a cusp form on GL, (A).
In GL,, let Y, be the standard unipotent subgroup attached to the
+
partition (m 1,1,. . . , I ) . For our purposes it is best to view Y, as the
group of n x n matrices of the following shape where I'
is the (global) Whittaker function of < then the integral unfolds into
where u = u(y) is a m x (n - m) matrix whose first column is the m x 1
vector all of whose entries are 0 and n = n(y) E Nn-,, the upper triangular
maximal unipotent subgroup of GL,-,. If 1C, is our standard additive
character of k\$ then 1C, defines a character of Y,(A) trivial on Y,(k) with Wh E W(T,$-I) as above. Then by the uniqueness of the local and
by setting $(y) = +(n(y)) with the above notation. The group Y, is <
global Whittaker models [59] for factorizable and cp our integral factors
normalized by GLm+l c GL, and the mirabolic subgroup P,+l c GL,+l into a product of local integrals
is the stabilizer in GL,+l of the character $J.
If ((9) is a (smooth) cuspidal function on GL,(A) define IP,<(h) for
h E GL, (A) by s-(n-m
?! k m ( k v ) \ GLm(kv) 0 1n-m
with WCv E W(n,, $,) and WVv E W(r,, $;I). If we denote the local
integrals by
As the integration is over a compact domain, the integral is absolutely
convergent. P,<(h) is again an automorphic function on GL,(A). A
Consider the integrals
("" In-,O ) wbv( a , ) det(h,),-
wtV 0 dh,
where
where
10 Cogdell and Piat etski-Shapiro 11
Converse Theorems for GL, and application to liftings
with the h integral over Nm(k,)\GLm(kv) and the x integral over maximal compact subgroup of GL, (k,) (respectively GL, (k,)) , and S,J the
Mn-m-l,m(k;), the space of (n - m - 1) x m matrices, p denoting right set of finite places where $, is not normalized. Let S = S, U Sn U STU S*.
tranlsation, and w,,, the Weyl element For the functional equation, we have
where
the standard long Weyl element in GLd.
Now consider the local theory. At the finte places v where both n, and
rv are unramified and $, is normalized, if we take t: and cpz to be the
and similarly
unique normalized vector fixed under the maximal compact subgroup, we
find that the local integral computes the local L-function exactly, i.e.,
where
In general, the family of integrals {I(WeV,WGv,s) ( &, E Vnv, cp, E V,)
generates a C[qt, q;']-fractional ideal in C(qi8) with (normalized) genera-
tor L ( n Vx rV,
S) [33], [7]. In the case of v an Archimedean place something
quite similar happens, but one must now deal not with the algebraic version By the local functional equations one has
of the representations (i.e., the (8, K)-module) but rather with the space of
smooth vectors (the Casselman-Wallach completion [64]). Details can be
found in [36]. In each local situation there is a local functional equation of
the form
so that from the functional equation of the global integrals we obtain
with the E,,(s) entire and bounded in vertical strips. So in this case we have
I(Ut, p, s) = E(s)L(II x T, S) with E(s) entire and bounded in vertical strips
as in Section 3. Since L(II x T, S) is assumed nice we thus may conclude
that I(U€, 9 , s) has an analytic continuation to an entire function which is
then Q, = a;lan-lFa~~lam is a conjugate of and for any m we have
bounded in vertical strips. When T is not cuspidal, it is a subrepresenta-
that P(k) and Q(k) generate all of GL, (k). So now set
tion of a representation that is induced from cuspidal representations Ui of
GL,,(A) for T i < m with C ri = m and is in fact, if our integral doesn't
vanish, the unique generic constituent of this induced representation. Then
one can make a similar argument using this induced representation and
where N' = a;' Nn amc Q. This sum is again absolutely convergent and the fact that the L(ll x u,, s) are nice to again conclude that for all T,
is invariant on the left by Q(k) and Z(k). Thus, to embed II into the space n
I(Ut, 9 , s) = E(s)L(II x T,S) = E1(s) L(II x u,, s) is entire and bounded
of automorphic forms it suffices to show Ut = Vt. It is this that we will in vertical strips. (See [4] for more details on this point.)
attempt to do using the integral representations. Similarly, one can consider I(V& cp, s) for cp E V, with T an irreducible
Now let T be an irreducible subrepresentation of the space of automor- subrepresentation of the space of automorphic forms on GL,(A), still with
phic forms on GLm(A) and assume cp E V, is also factorizable. Let
Now this integral converges for Re(s) << 0. However, when one unfolds,
This integral is always absolutely convergent for Re(s) >> 0, and for all s
n
one finds I ( Q , v , s ) = i ( P ( w n , m ) ~ t w
v ,b V ,1-s) = ~ ( 1 - s ) ~ ( f i x1-s)
i,
as above. Thus I(Ve,cp, s) also has an analytic continuation to an entire
if T is cuspidal. As with the usual integral representation we have that this
function of s which is bounded in vertical strips.
14 Converse Theorems for GL, and application to Iiftings Cogdell and Piatetski-Shapiro 15
Now, utilizing the assumed global functional equation for L(II x T, s) < E Vn, Pn-lUt(In-1) = Pn-lI$(In-l). But for m = n - 1 the projection
in the case where T is cuspidal, or for the L(II x ui,s) in the case T is not operator is nothing more than restriction to GL,-l. Hence we have
cuspidal, as well as the local functional equations at v E S, U Sn U ST U S$ <
U<(In) = &(I,) for all E Vn Then for each g E GL,(A), we have
as in Section 3 one finds u t (9) = hqg)< (In) = vn(g)r(In) = V' (9). So the map t t+ UC(9) gives our
embedding of II into the space of automorphic forms on GLn(A), since now
U, is left invariant under P(k), Q(k), and hence all of GLn(k). Since we
still have
for all cp in all irreducible subrepresentations T of GLm(A), in the sense of
analytic continuation. This concludes our use of the L-function.
€ 9= C Wdp9)
Nn (k)\P ( k )
We now rewrite our integrals I(U€,cp, s) and I(V, ,cp, s) as follows. We
first stratify GL, (A). For each a E AX let we can compute that U, is cuspidal along any parabolic subgroup of GL,.
Hence It embeds in the space of cusp forms on GLn(A) as desired.
GLk(A) = {g E GLm(A) I det(g) = a). 0
5 Proof of Theorem 2.1 [4] In this language, the statement Pn-2F€(In-2) = 0 becomes j,(en-') = 0,
Let us now assume that II is as in Section 2 and that L(II x T, s) is where as always, ek is the standard unit vector with 0's in all places except
nice for all T E T(n - 1). Then by Proposition 4.1 we have that for all the kth where there is a 1.
16 Converse Theorems for GL, and application to liftings Cogdell and Pia tetski-Shapiro 17
Note that F((g) = Ut(g) - Vt(g) is left invariant under (Z(k) P(k)) n If we now fix such a place vo and assume that our vector < is chosen so
(Z(k) Q(k)) where Q = Qn-,. This contains the subgroup that <,,= <Lo,then we have
r = 5, E T(n - 2), we have the equality of partial L-functions all places v 4 S . Since we have not twisted by all of T ( n - 1) we are not in
a position to apply Proposition 4.1. To be able to apply that, we will have
to place local conditions at all v 4 S.
We begin by recalling the definition.of the conductor of a representation
II, of GLn(kv) and the conductor (or level) of II itself. Let K, = GLn(oV)
Now LS (or x CT,s) has a pole at s = 1and all other terms are non-vanishing be the standard maximal compact subgroup of GLn(kv). Let p, C o, be
at s = 1. Hence L(II x r , S) has a pole at s = 1 contradicting the fact that the unique prime ideal of o, and for each integer mu 0 set>
L(II x r , S) is nice. If ml 5 2, then we can make a similar argument using
~ ( fxi 01, s). So in fact we must have r = 1 and IIo = Ill = Z is cuspidal.
Since IIo agrees with II at vl and 111 agrees with at vo we see that in
fact II = no = 111 and II is indeed cuspidal automorphic.
0 and Kl,,(prv) = {g E Ko,,(pTv) I g,,, 1 (mod p r v ) ) ) . Note that for
Now consider Theorem 2.3. Since we have restricted our ramification, m, = 0 we have Kl,, (p&)= KO,,(p&)= Kv. Then for each local component
we no longer know that L(II x T, s) is nice for all T E T ( n - 2) and so Prop* 11, of I1 there is a unique integer m, 2 0 such that the space of Kl,v(prv)-
sition 4.1 is not immediately applicable. In this case, for each place .u E S fixed vectors in n, is exactly one. For almost all v, m, = 0. We will' call
we fix a vector t: :, Env as in Lemma 6.1. (So we must assume we have the ideal prv the conductor of II,. (Often only the integer mu is called the
chosen @ so it is unramified at the places in S.) Let EL = nvEs(; E IIs. conductor, but for our purposes it is better to use the ideal it determines.)
Consider now only vectors of the form tS@ EL with JS arbitrary in Vns
and <$ fixed. For these vectors, the functions Pn-2Ut (h) and Pn-2Q(h)
Then the ideal n = n, prv C o is called the conductor of II. For each place
v we fix a non-zero vector t,"E II, which is fixed by Kl,,(prv), which at
are unramified at the places v E S, so that the integrals I(Ut, cp, s) and the unramified places is taken to be the vector with respect to which the
I(&, cp, s) vanish unless cp(h) is also unramified a t those places in S. In restricted tensor product II = @'II, is taken. Note that for g E K0,,(prv)
particular, if T E T ( n - 2) but r 4 Ts(n - 2) these integrals will van- we have &(g)S," = wn, (gn,n)Sz-
ish for all cp € V,. So now, for this fixed class of t we actually have Now fix a non-empty finite set of places S, containing the Archimedean
I(Ut,cp, s) = I(Q,cp, s) for all cp E V, for all T E T ( n - 2). Hence, as
before, Pn-2U6(In-2) = Pn-2%(In-2) for d l S U C ~t.
places if there are any. As is standard, we will let Gs = nu,, GLn(kv),
Now we proceed as before. Our Fourier expansion argument is a bit
G~ = nvds GLn(kv),IIs = @,,,II,, IIS = @:,,II,, etc. The the compact
more subtle since we have to work around our local conditions, which now subring nS = rives prw C kS or the ideal it determines n s = k n ksnS C
have been imposed before this step, but we do obtain that UE(g) = Vt(g) os is called the S-conductor of II. Let ~ f ( n = ) nu,, Kl,,(pFv) and
for all g E G' = KwlV(p:v)) G ~ .The generation of congruence similarly for ~ i ( n ) .Let to = @,,ese E IIS. Then this vector is fixed
subgroups goes as before. We then use weak approximation as above, but by ~ f ( n and
) transforms by a character under ~ t ( n ) In . particular, since
then take for II' any constituent of the extension of IIS to an automorphic ~v,sGLn-l(o,) embeds in ~ f ( n via ) h H ( h we see that when we
representation of GLn(A).There no use of strong multiplicity one nor any restrict IIS to GLnel the vector 5" is unramified.
further use of the L-function in this case. More details can be found in [6]. Now let us return to the proof of Theorem 2.4 and in particular the
0 version of the Proposition 4.1 we can salvage. For every vector Ss E IIs
consider the functions UtsBE" and V&g,€o. When we restrict these functions
to GLn-1 they become unramified for all places v 4 S. Hence we see
7 Proof of Theorem 2.4 [4] that the integrals I(UtsBE0,cp, s) and I(&sBEo,cp, s) vanish identically if
the function cp E V, is not unramified for v 4 S , and in particular if cp E V,
Let us now sketch the proof of Theorem 2.4. We fix a non-empty finite for T E T ( n - 1) but r 4 Ts (n - 1). Hence, for vectors of the form J = J s @ r
set of places S , containing all Archimedean places, such that the ring os we do indeed have that I(UtSmto,cp, s) = I(Qs @to,cp, s) for all cp E V, and
of S-integer has class number one. Recall that we are now twisting by all all T E T ( n - 1). Hence, as in the Proposition 4.1 we may conclude that
cuspidd representations T E Ts(n - I), that is, T which are unramified at UtSep (L) = (In) for all [s E Vns. Moreover, since Js was arbitrary
20 Converse Theorems for GL, and application to liflings Cogdell and Piatetski-Shapiro 21
in Vns and the fixed vector totransforms by a character of K;(n) we may of A(GL,(k)\ GL,(A); w). To compare this to our original 11, we must
conclude that Uts8(0 (9) = Vtse(o (9) for all ts E Vn, and all g E Gs K:(n). check that, in the space of classical forms, the QtS@pare Hecke eigenforms
What invariance properties of the function Uts have we gained from and their Hecke eigenvalues agree with those from II. We check this only
our equality with Let us let ri(ns) = GL,(k) n GsK?(n) which for those v S which are unrarnified. The relevant Hecke algebras are as
we may view naturally as congruence subgroups of GLn(os). Now, as a follow.
function on Gs K:(n), U,=,@(o(9) is naturally left invariant under Let St be the smallest set of places containing S so that IIv is unram-
ified for all v $ St. If 3'' = % f l ( ~K") ~ ' , is the algebra of compactly
supported Ksl-bi-invariant functions on G" then there is a character A
of 31" so that for each 5? E ?is'we have I I S 1 ( ~ = ) ~A(~?)<o.
~ Since
while Vt,@(o (9) is naturally left invariant under K" is naturally a subgroup of K:(n) we see that 'HS' also naturally acts
on A(GL,(k)\ GL,(A); w ) ~ ? ( " by) convolution and hence there will be a
corresponding classical Hecke algebra H': acting on the space of classical
where Q = 9,-I- Similarly we set l?l,p(ns) = Z ( k ) P(k) n Gs K:(n) and fcrms W o (ns) \ Gs; u s , xs).
Let
r1.Q(ns) = Z(k) Q(k)n G s K;(n).
is the following result.
The crucial observation for this Theorem
cS(n) = ( n
vES1-S
KO,.(PF)) GS1.
Proposition 7.1 The congruence subgroup ri(ns) is generated by ri,p(ns) Then ~ : ( n ) C ~ ' ( n ) .and we may form the Hecke algebra of bi-invariant
and ri,Q(ns) for i = 0 , l . functions 'HS (n) = %(G' (n) ,K: (n)). This convolution algebra is spanned
This proposition is a consequence of results in the stable algebra of by the characteristic functions of the Kf(n)-double cosets. Similarly let
GL, due to Bass [I] which were crucial to the solution of the congruence M = GL,(k) n GS ~ ' ( n ) , so that rl(ns) c M, and let %,(ns) be the
algebra of double cosets rl(ns)\M/rl(ns). This is the natural classical
subgroup problem for SL, by Bass, Milnor, and Serre [2]. This is reason
Hecke algebra that acts on A(ro(ns)\ Gs; ws, xs).
>
for the restriction to n 3 in the statement of Theorem 2.4.
Fkom this we get not an embedding of ll into a space of automorphic
forms on GL,(A), but rather an embedding of IIs into a space of classical Lemma 7.2 (a) The map a : %,(ns) +z S ( n ) given by
automorphic forms on Gs. To this end, for each & E Vns let us set
Now if we let II' be any irreducible subrepresentation of the represen- the twisted L-functions L(n x T, S) for T E 7 with an appropriate twisting
tation generated by the image of IIs in A(GL,(k)\ GL,(A); w), then II' set 7 from Theorems 2.1, 2.2, 2.3, or 2.4. This is one reason it is always
is automorphic and we have IIL 21 II, for all v E S by construction and crucial to define not only the standard L-functions but also the twisted
IIL E n, for all v 4 S' by our Hecke algebra calculation. Thus we have versions. If we know, from the theory of L-functions of H twisted by GL,
proven Theorem 2.4. for appropriate T, that L(n x T, s) is nice and L(T x 7, s) = L ( n x T, s) for
0 twists, then we can use Theorem 2.1 or 2.2 to conclude that ll is cuspidal
automorphic or Theorem 2.3 or 2.4 to conclude that II is quasi-automorphic
and at least obtain a weak automorphic lifting II' which is verifiably the
8 Applications correct representation at almost all places. At this point this relies on the
state of our knowledge of the theory of twisted L-functions for H.
In this section we would like to make some general remarks on how to apply Let us return now to the (local) problem of not knowing the appropriate
these converse theorems. local lifting n, I+ II, at the ramified places. We can circumvent this by
In order to apply these these theorems, you must be able to control the a combination of global and local means. The global tool is simply the
global properties of the L-function. However, for the most part, the way we following observation.
have of controlling global L-functions is to associate them to automorphic
forms or representations. A minute's thought will then lead one to the Observation Let II be as in Theorem 2.3 or 2.4. Suppose that q is a fixed
conclusion that the primary application of these results will be to the lifting (highly ramified) character of k X\AX . Suppose that L(II x T, s) is nice for
of automorphic representations from some group H to GL,. all T E 7 €3 q, where 7 is either of the twisting sets of Theorem 2.3 or 2.4.
Suppose that H is a split classical group, n an automorphic represen- Then II is quasi-automorphic as in those theorems.
tation of H, and p a representation of the L-group of H. Then we should
be able to associate an L-function L(n,p, s) to this situation [3]. Let us
The only thing to observe is that if T E 7 then
assume that p : L H + GL,(C) so that to n should be associated an auto-
morphic representation II of GL,(A). What should II be and why should
it be automorphic. so that applying the converse theorem for II with twisting set 7 8 77 is
We can see what 11, should be a t almost all places. Since we have equivalent to applying the converse theorem for II €3 7 with the twisting set
the (arithmetic) Langlands (or Langlands-Satake) parameterization of rep- 7.So, by either Theorem 2.3 or 2.4, whichever is appropriate, II €3 is
resentations for all Archimedean places and those finite places where the quasi-automorphic and hence II is as well.
representations are unramified [3], we can use these to associate to n, and Now, if we begin with n automorphic on H(A), we will take T to be the
the map p, :L H, + GL, (C) a representation ll, of GL, (k,). If H happens set of finite places where n, is ramified. For applying Theorem 2.3 we want
to be GL, then we in principle know how to associate the representation S = T and for Theorem 2.4 we want S n T = 0. We will now take 77 to be
II, at all places now that the local Langlands conjecture has been solved highly ramified at all places v E T. So at v E T our twisting representations
for GL, [22], [24], but in practice this is still not feasible. For other sit- are all locally of the form (unramified principal series)@(highly ramified
uations, we do not know what II, should be at the ramified places. We character).
will return to this difficulty momentarily. But for now, lets assume we can We now need to know the following two local facts about the local theory
finesse this local problem and arrive a t a representation ll = @II, such of L-functions for H.
that L(n, p, s) = L(II, s). II should then be the Langlands lifting of n to
GL, associated to p. (i) Multiplicativity of gamma: If T, = Ind(r1,, GO T2,,), with Tilv and
For simplicity of exposition, let us now assume that p is simply the irreducible admissible representation of GL,, (k,), then
standard embedding of L H into GL,(C) and write L(w,p,s) = L(n,s) =
L(II, s). We have our candidate II for the lift of n to GL,, but how to tell
whether II is automorphic. This is what the converse theorem lets us do. and L(rVx %, s)-' should divide [L(x, x T ~ , , ,s)L(x x 5,,,s)]-l.
But to apply them we must first be able to not only define but also control If n, = Ind(o, 8 n:) with a, an irreducible admissible representation
24 Converse Theorems for GL, and application to liftings Cogdell and Piatetski-Shapiro 25
of GL,(k,) and a; an irreducible admissible representation of H1(k,) price we pay is that we also lose this information in our conclusion since we
~ with H' c H such that GL, x H' is the Levi of a parabolic subgroup
of H, then
only know that It is quasi-automorphic. In essence, the converse theorem
fills in a correct set of data a t those places in T to make the resulting global
representation automorphic.
(ii) Stability of gamma: If al,, and r 2 , , are two irreducible admissible 9 Applications of Theorems 2.2 and 2.3
representations of H(kv), then for every sufficiently highly ramified
character q, of GLl(k,) we have Theorems 2.2 and 2.3 in the case n = 3 was established in the 1980's by
Jacquet, Piatetski-Shapiro, and Shalika [31]. It has had many applications
which we would now like to catalogue for completeness sake.
In their original paper [31], Jacquet , Piatetski-Shapiro, and Shalika used
the known holomorphy of the Artin L-function for three dimensional mono-
mial Galois representations combined with the converse theorem to estab-
Once again, for these applications it is crucial that the local theory of lish the strong Artin conjecture for these Galois representations, that is,
L-functions is sufficiently developed to establish these results on the local that they are associated to automorphic representations of GL3. Gelbart
y-factors. Both of these facts are known for GL,, the multiplicativity being and Jacquet used this converse theorem to establish the symmetric square
found in [33] and the stability in 1351. lifting from GL2 to GL3 [14]. Jacquet, Piatetski-Shapiro and Shalika used
To utilize these local results, ;hat one now does is the following. At the this converse theorem to establish the existence of non-normal cubic base
places where a, is ramified, choose II, to be arbitrary, except that it should change for GL2 [32]. These three applications of the converse theorem
have the same central character as a,. This is both to guarantee that the were then used by Langlands [43] and Tunnel1 [63] in their proofs of the
central character of It is the same as that of r and hence automorphic and strong Artin conjecture for tetrahedral and octahedral Galois representa-
to guarantee that the stable forms of the y-factors for r, and II, agree. tions, which in turn were used by Wiles [67] ... .
Now form II = @'It,. Choose our character q so that at the places v E T Patterson and Piatetski-Shapiro generalized this converse theorem to
we have that the L- and y-factors for both rv8 q,, and n, q, are in their the three fold cover of GL3 and there used it to establish the existence of
stable form and agree. We then twist by 'T 8 q for this fied character q. the cubic theta representation [47], which they then turned around and used
If r E T D q , then for v E T , T, is of the form r, = Ind(p, 8 . . . @ p m ) @ q , , to establish integral representation for the symmetric square L-function for
with each pi an unramified character of k,X. So at the places v E T we have GL3 [48].
More recently, Dinakar Ramakrishnan has used Theorems 2.2 and 2.3
for n = 4 in order to establish the tensor product lifting from GL2 x GL2
to G 4 1551. In the language Section 8, H = GL2 x GL2, LH = GL2(C) x
GL2(C) and p : GL2(C) x GL2(C) + GL4(C) is the tensor product map.
If a = r1 8 a 2 is a cuspidal representation of H(A) and r is an automor-
phic subrepresentation of the space of automorphic forms on GL2(A) then
the twisted L-function he must control is L(n x r, s) = L(ar x r s x r, s),
that is, the Rankin triple product L-function. The basic properties of this
L-function are known through the work of Garrett [13], Piatetski-Shapiro
and similarly for the L-factors. F'rom this it follows that globally we will and M l i s [52], Shahidi [58], and Ikeda [25], [26], [27], [28] through a combi-
have L ( r x r, s) = L(II x r , s) for all r E 7 8 q and the global functional nation of integral representation and Eisenstein series techniques. Rarnakr-
equation for L ( r x r , s) will yield the global functional equation for L(II x ishnan himself had to complete the theory of the triple product L-function.
7,s). SO L(II x r , s) is nice and we may proceed as before. We have, in Once he had, he was able to apply Theorem 2.3 to obtain the lifting.
essence, twisted all information about a and I I a t those v E T away. The After he had established the tensor product lifting, he went on to apply it
26 Converse Theorems for GL, and application to liftings Cogdell and Piatetski-Shapiro 27
to establish the multiplicity one theorem for SL2, certain new cases of the As for the global theory, the meromorphic continuation of the L-function
Artin conjecture, and t h e Tate conjecture for four-fold products of modular is established in [15], [17]. The global functional equation, a t least in the
curves. case where the infinite component rr, is tempered, has been worked out
We should note that Ramakrishnan did not handle the ramified places in conjunction with Soudry. The remaining technical difficulty is to show
via highly ramified twists, as we outlined above. Instead he used an that L(a x T, s) is entire and bounded in strips for T E Ts(n - 1) 8 q.
ingenious method of simultaneous base changes and descents to obtain the The poles of this L-function are governed by the exterior square L-function
ramified local lifting from GL2 x GL2 to GL4. L(T, A ~S), on GL, [15], [17]. This L-function has been studied by Jacquet
and Shalika [37] from the point of view of Rankin-Selberg integrals and by
Shahidi by the method of Eisenstein series. We know that the Jacquet-
10 An application (in progress) of Shalika version is entire for T E Ts(n - 1) 8 q , but we know that it is the
Theorem. 2.4 Shahidi version that normalizes the Eisenstein series and so controls the
poles of L(a x T, s). Gelbart and Shahidi have also shown that, away from
Theorem 2.4 is designed to facilitate the lifting of.generic cuspidal repre- any poles, the version of the exterior square L-function coming from the
sentations rr from a split classical group H to GL. The case we have made theory of Eisenstein series is bounded in vertical strips [16]. So, we would
the most progress on is the case of H a split odd orthogonal group S02n+l. (essentially) be done if we could show that these two avatars of the exterior
Then LH = Sfin(@) and we have the standard embedding p : Sfin(C) square L-function were the same. This is what we are currently pursuing
GL2,(@). So we would expect to lift a to an automorphic representation .. . a more complete knowledge of the L-functions of classical groups.
II of GL2,(A). We should point out that Ginzburg, Rallis, and Soudry now have inte-
We first construct a candidate lift II = &II, as a representation of gral representations for L-functions for Spz, x GL, for generic cusp forms
GL2,(A). If v is Archimedean, we take II, as the local Langlands lift of a, [19], analogous to the ones we have used above for the odd orthogonal
as in [3, 411. If v is non-Archimedean and rr, is unrarnified, we take II, as group. So, once we have better knowledge of these L-functions we should
the local Langlands lift of a, as defined via Satake parameters [3,40]. If v is be able to lift from S n n to GL2n+l.
finite and rr, is ramified, we take II. to be essentially anything, but we will Also, Ginzburg, Rallis, and Piatetski-Shapiro have a theory of L-func-
require a certain regularity: we want II, to be irreducible, admissible and tions for S O x GL, which does not rely on a Whittaker model that could
to have trivial central character, we might as well take it to be unramified, possibly be used in this context 1181.
and we can take it generic if necessary. Then II = @TIvis an irreducible
admissible representation of GL2, (A) with trivial central character.
To show that II is a (weak) Langlands lifting of ?r along the lines of Sec- 11 Conjectures and extensions
tion 8, we need a fairly complete theory of L functions for S02n+t x GL,,
that is, for L(a x T, S) for T E 7 ~ ( 2 -
n 1) 0 q with an appropriate set S and What should be true about the amount of twisting you need to control in
highly ramified character q. The Rankin-Selberg theory of integral repre- order to determine whether II is automorphic?
sentations for these L-functions has been worked out by several authors, There are currently no conjectural extensions of Theorem 2.4. However
among them Gelbart and Piatetski-Shapiro [15], Ginzburg [17], and Soudry conjectural extensions of Theorems 2.2 and 2.3 abound. The most widely
[61, 621. For T a cuspidal representation of GL,(A) with m 5 2n - 1 the believed conjecture, often credited to Jacquet, is the following.
integral representation for L(rr x T , S) involves the integration of a cusp form
9 E V, against an Eisenstein series E,(s) on SO2, built from a (normal- Conjecture 11.1 Let II be an irreducible admissible generic representa-
ized) section of the induced representation ~ndg:", l Is). We know
u ( ~det tion of GL,(A) whose central character wn is trivial on k X and whose L-
that for these L-functions most of the requisite properties for the lifting are function L(II, s) is convergent in some half plane. Assume that L(II x T, s)
known. as nice for every T E 7.)I:[( Then ll is a cuspidal automorphic represen-
The basics of the local theory can be found in (17, 61, 621. The multi- tation of GL,(A).
plicativity of gamma is due to Soudry [61, 621. The stability of gamma was Let us briefly explain the heuristics behind this conjecture. The idea is
established for this purpose in [8]. that the converse theorem should require no more than what would be true
Converse Theorems for GL, and application to lifting Cogdell and Piatetski-Shapiro 29
if II were in fact automorphic cuspidal. Now, if II were automorphic but The most immediate extension of these converse theorems would be to
not cuspidal, then still L(II x r , S) should have meromorphic continuation, allow the L-functions to have poles. As a first step, one needs to determine
be bounded in vertical strips away from its poles, and satisfy the functional the possible global poles for L(II x r, s), with II an automorphic representa-
equation. However, since II would then be a constituent of an induced rep- tion of GL,(A) and say T a cuspidal representation of GL,(A) with m < n,
resentation B = Ind(ol @ . - .@ or) where the oi are cuspidal representations and their interpretations from the integral representations. One would then
of GL,, (A), we would no longer expect all L(II x r, s) to be entire. In fact, try t o invert these interpretations along with the integral representation.
since we must have n = ml + + - - m,, then at least one of the mi must We hope to pursue this in the near future. This would be the analogue of
satisfy mi 5 [$] and in this case the twisted L-function L(II x bi7s) should Li's results for GL2 [43, 441.
have a pole. The above conjecture states that, all other things being nice, If one could establish a converse theorem for GL, allowing an arbitrary
this is the only obstruction to II being cuspidal automorphic. finite number of poles, along the lines of the results of Weissauer 1661 and
There should also be a version with limited ramification as in Theo- Raghunathan [53], these would have great applications. Finiteness of poles
rem 2.3, but you would lose cuspidality as before. for a wide class of L-functions is known from the work of Shahidi 1581, but
The most ambitious conjecture we know of was stated in [4] and is as to be able to specify more precisely the location of the poles, one usually
follows. needs a deeper understanding of the integral representations (see Rallis [54]
for example). A first step would be simply the translation of the results of
Conjecture 11.2 Let II be an irreducible admissible generic representa- Weissauer and Raghunathan into the representation theoretic framework.
tion of GL,(A) whose central character wn is trivial on k X and whose L-
-
An interesting extension of these results would be converse theorems
function L(II, s) is convergent in some half plane. Assume that L(II cow, s ) not just for GL, but for classical groups. The earliest converse theorem
is nice for every character w of k X\AX, i.e., for all w E T(1). Then there for classical groups that we are aware of is due to Mad3 [46]. He proved
is an automorphic representation II' of GL,(A) such that II. IIL for all a converse theorem for classical modular forms on hyperbolic n-space ?in,
finite places v of k where both II, and II: are unramified and such that i.e., (essentially) for the rank one orthogonal group O,J, which involves
L(II@w, s) = L(n' @ w, s) and'e(II @ w, s) = c(II' @ w, s). twisting the L-function by spherical harmonics for The first attempt
This conjecture is true for n = 2,3, as follows either from the classical at a converse theorem for the symplectic group Snn that we know of is
converse theorem for n = 2 or the n = 3 version of the Theorem 2.4. In found in Koecher7s thesis [39]. He inverts the Mellin transform of holo-
>
these cases we in fact have II' = II. For n 4 we can no longer expect morphic Siegel modular forms on the Siegel upper half space 3, but does
to be able to take II' to be II. In fact, one can construct a continuum of not achieve a full converse theorem. For Sp4 a converse theorem in this
representations ll; on GL4(A), with t in an open subset of C, such that classical context was obtained by Imai [29], extending Koecher7sinversion
L(II; @ w, s) and 8 w, s) do not depend on the choice of the constants in this case, and requires twisting by M a d forms and Eisenstein series for
t and L(n; @ w , s) is nice for all characters w of k /AX [51], (61. All of G4. It seems that, within the same context, a similar result will hold for
these cannot belong to the space of cusp forms on GL4(A), since the space Sn,.Duke and Imamoglu have used Imai7s converse theorem to analyze
of cusp forms contains only a countable set of irreducible representations. the Saito-Kurokawa lifting [12]. It would be interesting to know if there is
There are similar examples for GL, with n > 4 also. a representation theoretic version of these converse theorems, since they do
Conjecture 11.2 would have several immediate arithmetic applications. not rely on having an Euler product for the L-function, and if they can then
For example, Kim and Shahidi have have shown that for non-dihedral cus- be extended both to other forms on these groups as well as other groups.
pidal representations n of GL2(A) the symmetric cube L-function is entire Another interesting extension of these results would be to extend the
along with its twists by characters [38]. F'rom Conjecture 11.2 it would converse theorem of Patterson and Piatetski-Shapiro for the three-fold cover
then follow that there is an automorphic representation II of G 4(A) hav- of GL3 [47] to other covering groups, either of GL, or classical groups.
ing the same L-function and &-factor as the symmetric cube of n. This
would produce a (weak) symmetric cube lifting from GL2 to GL4.
If these conjectures are to be attacked along the lines of this report, the
first step is carried out in Section 4 above. What new is needed is a way to
push the arguments of Section 6 beyond the case of abelian Y,.
30 Converse Theorems for GL, and application to liftings Cogdell and Piatetski-Shapiro 31
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34 Converse Theorems for GL, and application to liftings
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(641 N. Wallach, Cm vectors, Representations of Lie Groups and Quan- 1 Introduction
tum Groups (Trento l993), Pitman Res. Notes Math. Ser. 31 1 (l994),
Longman Sci. Tech., Harlow, 205-270. Doi, Hida and Ishii have conjectured [7] that there is a close relation
between:
(651 A. Weil, h e r die Bestimmung Dirichletscher Reihen durch Funktion-
algleichungen, Math. Annalen 168 (1967), 149-156. the primes dividing the algebraic parts of the values, at s = 1, of
the twisted adjoint L-functions of an elliptic cusp form f , where the
[66] R. Weissauer, Der Heckesche Umkehrsatz, Abh. Math. Sem. Univ. twists are by (non-trivial) Dirichlet characters associated to a fixed
Hamburg, 61 (1991), 83-119. cyclic totally real extension F of Q, and,
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Math. 141 (1995) 443-551.
7,
the primes of congruence between the base change of f to F, and
other non-base-change Hilbert cusp forms over F.
ii) to mention some recent numerical work of Goto [12] and Hiraoka
(201 in support of the conjecture; this work nicely compliments the
computations of Doi, Ishii, Naganuma, Ohta, Yamauchi and others,
done over the last twenty years (cf. Section 2.2 of [7]); and finally
iii) to describe some work in progress of the present author towards part
of the conjecture (cf. [lo], [ll]).
The conjectures in [7] of Doi, Hida and Ishii go back to ideas of Doi and
Hida recorded in the unpublished manuscript [6]. Some of the material in
this note appears, at least implicitly, in [7]. We wish to thank Professor
Hida for useful discussions on the contents of this paper.
Congruences Bet ween Hi1bert Modular Forms Eknath Ghate 37
2 Cusp forms D, f = (9
+ k - 2)f , where D, is the Casimir operator at T E IF
Fix once and for all a real quadratic field F = ()(dB), of discriminant f has vanishing 'constant terms': for all g E G(A),
D > 0. Let X D denote the Legendre symbol attached to the extension
F/Q. Let O = OF denote the ring of integers of F , and let IF = { L , w )
denote the two embeddings of F into R The embedding a will also be
thought of as the non-trivial element of the Galois group of F/Q. J c IF
will denote a subset of IF. where N is the unipotent radical of the standard Bore1 subgroup of
There are three spaces of cusp forms that will play a role in this paper. upper triangular matrices in G.
Let k 2 2 denote a fixed even integer. Let
Every f E Sk,IF (OF) has a Fourier expansion. We recall this now. Let
W : (R; )IF + C be defined by
denote the space of elliptic cusp forms of level one and weight k; respectively,
the space of elliptic cusp forms of level D, weight k, and nebentypus XD.
Finally, let
for y = (y,, y,). Let tP be an idele which generates the different of F/Q.
Let e~ : F\AF + C denote the usual additive character of AF. Then
denote the space of holomorphic Hilbert cusp forms of level 1, and parallel
weight (k, k) over the real quadratic field F.
The definition of the spaces S+ and S- are well known, so for the
reader's conveniencewe only recall the definition of the space S =
here. For more details the reader may refer to [17].
(OF) I
where [I = {r E IF ET > 0 if r E J and ET < 0 if r $! J). Here, the
Fourier coefficients c(g, f ) only depend on the fractional ideal generated by
Let G = R ~ S F / ~ G LLet ~ /G~ . = G(Af ) denote the finite part of G(A),
the finite part gf of the idele g. Thus if gfOF = m, then we may write
where A = Af x W denotes the ring of adeles over Q. Let G, = G(R),
c(m, f ) without ambiguity. Moreover, one may check that m tt c(m, f )
and let G,+ denote those elements of G, which have positive determinant
vanishes outside the set of integral ideals.
at both components. Let Kt = n p G L 2 ( 0 , ) be the level 1 open-compact
Let 2 = H x H , where H is the upper-half plane. Each f E SkjIF (OF)
subgroup of G(Af ), let K, = 02(R)IF denote the standard maximal com- may be realized as a tuple of functions (fi) on Z satisfying the usual trans-
pact subgroup of G(R), and let K,+ = SO~(R)'F denote the connected formation property with respect to certain congruence subgroups ri defined
component of K, containing the identity element. Let Z denote the center
below. To see this let zo = ( f lf,l )denote , the standard 'base point'
of G, and let 2, denotk the center of G,. in 2. For y = (::) E GL2(!R) and r E @ let
Consider the space Sk, J (OF) of function f : G(A) -+ cC satisfying the
following properties:
Then Y(K) is the set of complex points of a a quasi-projective variety When i = 1 and J = IF, this reduces to the usual Fourier expansion of
defined over (0. By the strong approximation theorem one may find ti E holomorphic Hilbert modular cusp forms:
G(A) with (ti), = 1 such that
h
G(A) = U G(QtiKfGm+.
i=l
Here 3 Hecke algebras
It is a fact that each of the spaces S+, S- and S of the previous section
has a basis consisting of cusp forms whose Fourier coefficients lie in Z. Let
is just the strict class number of F. Now set Fi = GL:(F) n tiKf ~ , + t r ' . T + , respectively T-, 7, denote the corresponding Hecke algebras. These
Then one has the decomposition algebras are constructed in the usual way as sub-algebras of the algebra of
Z-linear endomorphisms of the corresponding space of cusp forms generated
by all the Hecke operators. It is a well known fact that all three algebras
are reduced: T+ and 7,because the level is 1, and T-, since the conductor
of XD is equal to the level D. Moreover, since these algebras are of finite
Note that since we may choose tl = 1, type over Z, they are integral over Z, and so have Krull dimension = 1.
Let S = S+, S- or S denote any one of the above three spaces of
cusp forms, and let T = T + , T- or 7, denote the corresponding Hecke
NOWdefine fi : 2 + @ by algebra. There is a one to one correspondence between simultaneous eigen-
forms f E S of the Hecke operators (normalized so that the 'first' Fourier
coefficient is I), and Spec(T) (o),the set of Z-algebra homomorphisms X
where g, E G,+ with det(g,) = 1 is chosen such that of the corresponding Hecke algebra T into 0:
restricted to F. We leave the precise argument to the reader. In any case, defined a prior-i by its 'Fourier expansion', that is defined so that the stan-
we have f # f,, from which it follows that Kf is a CM field. dard L-function attached to f satisfies:
As we have seen, eigenforms in S- do not have 'complex multiplication' d
$2
if by the term complex multiplication one understands that j has the same
eigenvalues outside the level, as the twist of f by its nebentypus. However, it
L(S, 7) )= L(s, f )L(s, f @xD)- (4.1)
is possible that f = j @x,where x # XD is a quadratic character attached to The existence of f^ established using the 'converse theorem' of Weil.
a decomposition of D = Dl D2into a product of fundamental discriminants. Briefly, this stat? that f E S if for each grossencharacter $ of F, the twisted
Such a phenomena might be called 'generalized complex multiplication' or L-function L(s, f @ I)) has sufficiently nice analytic properties: namely an
better still, 'genus multiplication', since it is connected to genus theory. Let analytic continuation to the whole complex plane, a functional equation,
us give an example which was pointed out to us by Hida. Suppose that D = and the property of being 'bounded in vertical strips'.
pq with p e 3 q (mod 4), and that q = qij splits in K = Q ( ( J 3 ) . If there Using Galois representations, and their associated (Artin) L-functions,
is a Hecke character X of of conductor q , satisfying X((a)) = ak-I we give here a heuristic reason as to why the above analytic properties
for all a E K with a I 1 (modx q), and such that X induces the finite order
character ( 3 ) when restricted to nlZ,; then the corresponding form f =
should hold. Eichler, Shimura and Deligne attach a representation pf :
Gal(o/Q) -+ GL2(M) to f satisfying
Leo, A(%)~~"~N(%~L)Z E S- h as 'genus multiplication' by the character
( ) We shall come back to the phenomena of 'genus multiplication'
later.
The full Galois group of Q ~ a l @ / / Q , acts on the set of normalized where M is a completion of the Hecke field of f . Note that the identity
eigenforms via the action on the Fourier coefficients: (4.1) above shows that
where a E ~ a l @ / Q )and X : T -+ a E SP~C(T)(@.This shows that Let p+ denote the 1-dimensional Galois representation attached to $ via
the reciprocity map of class field theory. Then, using standard properties
of Artin L-functions, we have
is a one to one correspondence between the Galois orbits of normalized
eigenforms, and, the minimal prime ideals in T.
Finally if SIA denotes those elements in S which have Fourier coeffi-
cients lying in a fixed sub-ring A of C, and if TIA C EndA(S) denotes the
corresponding Hecke algebra over A, then there is a perfect pairing
Thus the analytic properties we desire could, theoretically, be read off from
those of the the Rankin-Selberg L-function of f and the (Maass) form g
whose conjectural Galois representation should be ~nd;(p$). This heuristic
argument was carried out by Doi and Naganuma in [8] and [24], in a purely
where c(1, f ) denotes the 'first' Fourier coefficient. analytic way (with no reference to Galois representations).
In any case, from now on we will assume the process of base change as
a fact. Let us denote the two base change maps f e f by
4 Doi-Naganuma lifts
The spaces Sf, S- are intimately connected to the space S via base change.
BC+ : S+ +S and BC- : S- -+ S.
If f E S+ or S- is a normalized eigenform, then, in [8] and 124) Doi and
These maps are defined on normalized eigenforms f E S*, and then
Naganuma have shown how to construct a normalized eigenform f^ E S, extended linearly to all of S*.
40 Congruences Bet ween Hilber t Modular Forms Eknath Ghate 41
restricted to F . We leave the precise argument to the reader. In any case, defined a priori by its 'Fourie~expansion', that is defined so that the stan-
we have f # f,, from which it follows that Kf is a C M field. dard L-function attached to f satisfies:
As we have seen, eigenforms in S- do not have 'complex multiplication'
if by the term complex multiplication one understands that f has the same
eigenvalues outside the level, as the twist of f by its nebentypus. However, it
is possible that f = f @x,where x # XD is a quadratic character attached to The existence of f^ $ established using the 'converse theorem' of Weil.
a decomposition of D = Dl D2 into a product of fundamental discriminants. Briefly, this s t a t e that f E S if for each grossencharacter li, of F, the twisted
Such a phenomena might be called 'generalized complex multiplication' or L-function L(s, f 8 $J) has sufficiently nice analytic properties: namely an
better still, 'genus multiplication', since it is connected to genus theory. Let analytic continuation to the whole complex plane, a functional equation,
us give an example which was pointed out to us by Hida. Suppose that D = and the property of being 'bounded in vertical strips'.
pq with p z 3 r q (mod 4), and that q = qlj splits in K = Q ( , / q ) . If there Using Galois representations, and their associated (Artin) L-functions,
is a Hecke character X of %,/q) of conductor q, satisfying X((a)) = ak-' we give here a heuristic reason as to why the above analytic properties
for all a E K with a r 1 (modx q), and such that X induces the finite order should hold. Eichler, Shimura and Deligne attach a representation pf :
character ( 3 ) when restricted to nlZ: , then the corresponding form f = Gal(o/Q) + GL2(M) to f satisfying
Cacon~ ( 2 i ) e ~E ~S-~ has ~ ( 'genus
~ ) ~ multiplication' by the character
( 2 ) .We shall come back to the phenomena of 'genus multiplication'
later.
The full Galois group of Q,~ a l @ / Q ) , acts on the set of normalized where M is a completion of the Hecke field of f . Note that the identity
eigenforms via the action on the Fourier coefficients: (4.1) above shows that
By the perfectness of the pairing (3.3) over Z, the maps BC* give rise Before we proceed further we would like to investigate which elliptic
to dual maps BC*, which are Z-algebra homomorphisms. At unramified cusp forms can base change to the space S.
primes we have: Let us start with some observations. If f E S+,then the above discus-
sion shows that both f and f @xDbase change to the same Hilbert modular
P f - =
1 - c(p, f)p- +pk-1-2~ i f f E S+, and a newform, whose base change f lies in S . Then, by possibly replacing
1 - C(P,f )P-* i f f E S-. f by the normalized newform associated to f@xD, or by the normalized
newform associated to f @yo,, where D = Dl D2 is a decomposition of D
On the other hand, L(s, f@xD) does not have any Euler factors at the into a product of fundamental dascscriminants, we have f E S+ or f E S-.
primes plD. Since both L(s, f? and L(s, f ) have functional equations, it
might be necessary to add some Euler factors at the primes p ( D so that Proof Let pf denote the Xadic representation attached to f? by the work
L(s, f @xD)too has a functional equation. Equivalently, one might have to of many authors (Shimura, Ohta, Carayol, Wiles, Taylor [28], Blasius-
replace the cusp form f @xDby the (unique) normalized newform f ' which
Rogawski [2]). The identity (4.2) by which f^is defined shows that
has the same Hecke eigenvalues as f @xDoutside D.
Now, when f E S+, the cusp form f@xDE S;ew(I',-,(D2)) is already a
newform, so f ' = f @xD.However, when f E S-, f @xDE Sk(ro(D2),xD)
is an oldform. In this case, f ' is just the newform f,, defined above (3.2). A comparison of the determinant on both sides of (4.6) shows immediately
Thus, the following Euler factors need to be added to L(s, f@xD) at the that 1 = k, and that x = 1 or XD. So it only remains to show that, in the
primes pl D: former case (after possibly replacing f by a twist), that N = 1, and that,
in the later case, N = D.
i f f E S+, Note that pp is unramified* at each prime p of O F ,so a preliminary
1 - c(p,f)p- if f E S-. remark is that, in either case, plN plD, since otherwise the ramifica-
tion of pf at p could not possibly be killed by restriction to Gal(F/Q).
We can now complete the formula (4.4) by noting that when p = p2 is Let us now suppose that x = I. If N = 1 we are done. So let us assume
ramified, that N > 1: say PI, p2, . . . ,p,. (r > 0) are the primes dividing N . For
, = { c(p, f )
- iff € 9 ,
c ( p , f ) + c ( p , f ) i f f €5'-.
*Actually pf may be ramified at the primes dividing 1, the residue characteristic of
A, but, by choosing another representations in the compatible system of representations
of which p f- is a member, we may work around this.
44 Eknath Ghate 45
Congruences Between Hi1bert Modular Forms
i = 1,2,. . . ,r , let ai 2 1 be such that pqi is the exact power of pi dividing XD = X D ~. X D ~Since all characters here are quadratic characters, we
N , Also, let N' be the exact level of the normalized newform f ' associated obtain the following identity of oldforms:
to f @XD-
If pil 1N , namely ai = 1, for some i, then Theorem 3.1 of Atkin-Li [I]
shows that pfllN1, By Theorem 4.6.17 of [23], we have c(pi, f') = 0, and
so the Euler factor Lpi(s, f ') is trivial. On the other hand, since pi!1N , the The left hand side of (4.7) has exact level divisible only by the pi, whereas
same theorem of Miyake, shows that the Euler factor Lpi(s, f ) has degree the right hand side has exact level divisible only by the qj. This shows that
1 in pYs. This yields a contradiction since the right hand side of (4.1) has the exact level is one. Thus f (respectively f') is the twist of a level one
+
degree 1 0 = 1 in p r s , whereas the left hand side has degree 2 in pCs. form, by the genus character XD, (respectively xD2).
In sum, when x = 1, either N = 1 and f is of level one, or N' = 1 and
>
Thus we may assume that ai 2, for all i.
f is the twist of a level one form by XD, or N > 1 and f is the twist of a
C. Khare has pointed out that an alternative argument may be given
using the local Langlands' correspondence. Indeed if pilJN, for some i, level one form by a genus character, as desired.
then the local representation at pi of the automorphic representation corre- Now suppose that x = XD. Then we have that DIN. We want to
sponding to f would be Steinberg. Consequently, the image of the inertia show that N = D. So suppose, towards a contradiction, that plD is an
subgroup, Ipi, at pi, under pj, would be of infinite cardinality, and so could odd prime and p21N, or that p = 21D and 81N. Then again Lp(s,f ) = 1,
not possibly be killed by restricting p j to the finite index (in fact index since the power of p dividing N is larger than the power of p dividing the
two) subgroup Gal(F/Q) of ~ a l ( a / Q . conductor of XD (cf. the same theorem in [23] used above). On the other
In any case, we may now assume that ai 2 2, for i = 1,2,. . . ,r. S u p hand, Lp(s,f') has degree at most 1 in p-'. This is because f' must again
pose now that in addition have p in its level, since p divides the conductor of its nebentypus. Thus
we get the usual contradiction, since the right hand side of (4.1) has degree
ai # 2 when pi is odd, and, a t most 1 in P - ~ ,whereas the left hand side has degree 2.
ai # 4 whenp, = 2. Thus when x = XD, we have N = D, as desired.
0
Then, again an argument involving Euler factors yields a contradiction.
Indeed, the same theorem of Atkin-Li shows that pi 1 N', so Lpi(s, f ') has For simplicity, we now make two assumptions for the rest of this article.
degree at most 1in pi-'. On the other hand, I:p N , so by Miyake again, we The first assumption is:
have c(pi, f ) = 0, and Lpi(s, f ) = 1 is trivial. This yields a contradiction
+
since the right hand side of (4.1) has degree 0 1 = 1 in pys, whereas the
7%
a
The formulas (4.3) show that if : I- -+ satisfies = X o BC* for some Remark 4.3 From the formulas (4.4) and (4.5) one may deduce the
5
X : T* -+ (that is corresponds to a base change form from S+ or S-), inclusions K - C Kf and Kg C Kg. The former inclusion is usually
then 6
expected to e an equality. But the latter inclusion is never an equality
since Kg is a totally real field, whereas Kg is a CM field. This phenomena
will be reflected in some of the numerical examples of Section 8; see also
Consequently o fixes the minimal primes in I- corresponding to base-change Remark 10.4 below.
eigenforms, and permutes the minimal primes corresponding to non-base-
change forms amongst themselves. We now assume that the algebra I- is 5 Adjoint L-functions
'F-proper' (cf. [7]), that is:
Let f = Cr==,
c(n, f ) qn E S+ or S-. Let x = 1, respectively x = XD,
There is only one Galois orbit of non-base-change forms. (4.11) denote the nebentypus character of f . For the readers convenience we recall
Let h denote a fixed element of this orbit. Since o must preserve the the definition of the imprimitive adjoint L-function attached to f . For each
corresponding minimal prime ideal ker(Xh) of 7 we see that there must prime p, define a, and Pp via
exists an automorphism T of Kh such that
Then the adjoint L-function attached to f is defined via the Euler product
which acts naturally on both sides. Let M and [f, f ] denote the eigenspaces
with respect to these actions. Then as before, for a p.i.d A, where D(K/L) denotes the relative discriminant of K / L . ~Finally let B
denote the set of 'bad7 primes
B := { p l p ) 3 0 . ~ )U {pJp<k-2)
is one dimensional, and so, for a valuation ring A of K as above one may
U { p ( p is not ordinary for some f E S+ or S-}
define the periods
there exists f E S+ or S- such that the mod p represen-
p tation of ~ a l ( o / Q )attached to f is not absolutely irred-
ucible when restricted to F
attached to f E SklIF(OF),via
{P 1 p 'divides' the fundamental unit of F as in Theorem 9.3
below
where ~ ( ff,,f,A) is an (integral) generator of (6.2), and 6(*,*)(f) is the The following conjecture is implicit in [?I, and we refer to it as the main
projection of 6(f) onto the [f, f] eigenspace. conjecture.
The following conjecture will be crucial for the analysis of congruences
in terms of adjoint L-values. It relates the Eichler-Shimura periods of a Conjecture 7.1 (Doi, Hida, Ishii [7])T h e following two sets are equal:
cusp form f E S* with those of its base change lift f^ E SkTI, (OF). Recall
that A is a valuation ring in a Galois extension K/Q that contains all the
Hecke fields, and whose residue characteristic is an odd prime p.
In the following sections we will sketch how one might attempt to prove
the main conjecture. Briefly the idea is this:
Conjecture 6.1 (Doi, Hida, Ishii [7], Conjecture 1.3) Let f E S f .
The first step is to show that a prime p lies in N if and only if there
Suppose that f is ordinary at p, and that the mod p representation at-
is a congruence (mod p) between a base-change form in S and a non-base-
tached to f is absolutely irreducible when restricted t o ~ a l ( n / F ' ) . T h e n the
change form in S. To see this, one first relates untwisted adjoint L-values
following period relations hold i n CX/AX:
over Q (respectively F) to congruence primes. This has been worked out
in the elliptic modular case by Hida in a series of papers 1141, [15] and 116).
The Hilbert modular case is currently being investigated by the present
t Hida has pointed out to us that here we are assuming that the image of the homo-
morphism Ah : 'T --+ Kh corresponding to h is the maximal order in Kh. It is indeed
possible that this image may not be the full ring of integers of Kh, in which case one
should really consider the relative discriminant of these 'smaller' orders. We ignore the
Recall that a prime p is said to be ordinary for f if p (c(p, f ) . complications arising from such a possibility in the sequel.
52 Congruences Bet ween Hi1ber t Modular Forms Eknath Ghate 53
author (see [lo] and (111). A natural identity between all the adjoint L S- = Sz2( r o(5), xs) has dimension 10, with one Galois orbit [g] and
functions involved, along with the period relations in Conjecture 6.1 then
allows us to deduce the first step (see Proposition 10.2 below). 1
5 -2867327 numerator of L*(1, Ad(g) 4 x5),
The second step identifies the congruence primes above with the primes 1
29 211 denominator of L*(1, Ad(g) @ x5),
in D (see Proposition 10.9 below). Using the simplicity of the non-base-
change part of the Hecke algebra (recall the assumption made in (4.11)) 7 is Fproper, with Kh = Q ( d 5 - 7 1 2867327).
and some algebraic manipulation one easily establishes that if p is such a
congruence prime, then p E D. The converse is more difficult, but would Example 3 D = 5, k = 24 :
follow from (a weak version of) Serre's conjecture on the modularity of mod S+ = S24(SL2(Z))has dimension 2, with one Galois orbit [f] and
p representations.
We emphasize again that the plan of proof outlined above is due es- 1
109 - 54449 numerator of L*(1, Ad(f ) @ xs) ,
sentially to Hida, and has been learned from him through his papers, or
through conversations with him. S- = S 2 4 ( r o(5),x5) has dimension 10, with one Galois orbit [g] and
5 .15505829 ( numerator of L*(1, Ad(g) @ x5),
8 Numerical evidence 1
139 - 461 denominator of L*(1, Ad(g) @ x5),
Before elaborating on the details of the 'proof' of the main conjecture we 7 is F-proper, with Kh = O((J5 -109 - 54449 15505829).
first would like to give a sample of some numerical examples in support of
it. These computations are but a small sample of those done by Doi and his The computations in the - case, and the Hecke fields of the F-proper
many collaborators Ishii, Goto, Hiraoka, and others, over the last twenty part of the Hecke algebra can be found in the table in Section 2.2 of [?I. We
years. refer the reader to that table and to the references in [7] for other numerical
If f E Sf, set examples in the - case. The method of computation in this case relies on
a formula of Zagier expressing the twisted adjoint L-values of f E S- in
terms of the Petersson inner product (f, 4) for an explicit cusp form 6 E S-
(see Theorem 4 and equation (90) of [32]).
Due to the large size of the numbers involved in the computations,
Example 1 D = 5, k = 20 : Zagier's method has not been practical to use in the + case. Recently,
S+ = Szo(SL2(Z))has dimension 1, with one Galois orbit M and however, the first computations in the + case were made by Goto [12]
(Example 1 above) and then by Hiraoka (201 (Examples 2 and 3 above).
1
977 numerator of L*(1, Ad(f ) 8 x5), These authors used instead an identity of Hida (see Theorem 1.1 of [12]),
which reduces the computation of twisted adjoint L-values to those of the
S- = Szo(ro(5),x5) has dimension 8, with one Galois orbit [g] and Rankin-Selberg L-function, which in turn can be computed by Shimura's
method.
5 -67169 ( numerator of L*(1, Ad(g)@x5),
1
9349 denominator of L*(1, Ad(g)@x5),
9 Adjoint L-values and congruence primes
7 is F-proper, with Kh = Q(J5 -977 - 67169). In this section we recall how (untwisted) adjoint L-values are related to
Example 2 D = 5, k = 22 : congruence primes. We treat the elliptic modular00case first.
Let S k ( r ,X) be either S+ or S-. Let f = Ern=, a(m,f ) qm be a nor-
S+ = S22(SL2(Z)) has dimension 1, with one Galois orbit [f] and malized eigenforms in Sk(I?, x). Fix a prime p. Recall that K is a large
1
71 numerator of L*(1, Ad(f ) @ x5), Galois extension of Q containing F , as well as all the Hecke fields of all
normalized eigenforms in S k (I',X).
Congruences Bet ween Hilbert Modular Forms Eknath Ghate 55
The following beautiful theorem of Hida completely characterizes con- 10 'Establishing' the main conjecture
gruence primes for f as the primes dividing a special value of the adjoint
L-function of f : In this section we outline a method for establishing Conjecture 7.1. The
arguments presented here have not been worked out in detail, and we there-
fore offer our apologies to the reader for the occasional sketchiness of the
Theorem 9.2 (Hida [14], [15], [16]) L e t p 2 5 be a n ordinary prime for
presentation. We hope that this section will serve, if nothing more, as a
f . T h e n p is a congruence prime for f if and only i f
guide for future work.
Theorem 9.3 ([lo], Corollary 2) Say F has strict class number 1. Let
f = f ^ E S be a base-change of a cusp f o r m f E S~ of weight (k, k). Let L -be Suppose, towards a contradiction, that f E S+ and g E S-. Then by
the fundamental unit of F . Assume that p > k-2, p , / ' ~ O . D - N ~-1)
~~(~~-~ comparing determinants on the two sides of either of the possibilities (10.I),
and we get a congruence between the trivial character and xD mod p. This is
impossible since p # 2.
i f k = 2, 0
p is ordinary for f , if k > 2.
Proposition 10.2 Assume that p $ B , and that the period relations of
Conjecture 6.1 hold. Assume in addition that p is not a congruence prime
for any f E s f .
Then p E N if and only if there is a congruence
A
f E h (mod p),
for some f E S+ or S- and some g 1 p.
h
Proof Suppose there is a congruence Remark 10.3 The hypothesis that p is not a congruence prime for any
A f E Sf in the statement of Proposition 10.2 is needed to make the argument
f r h (mod p), used in the proof work. It is expected to hold most of the time. It is however
I
for some p p with f E SC or S- Then by (the expected converse to) conceivable that a prime p may divide both the terms on the right hand
side of (10.2), in which case the above argument would have to be modified.
Theorem 9.3, we see that
In the sequel we have ignored the complications arising from this second
possibility.
Remark 10.4 We now discuss some issues connected to the fact that, in
On the other hand, assuming the period relations, we have the following the - cases of the examples given in Section 8, certain primes appear in
identity of L-values: the denominators of the twisted adjoint L-values of g.
It is a general fact that, for forms g E S- , the primes dividing D(Kg/Kc)
are essentially~the primes of congruences between g = C b(m, g)qm and
the complex conjugate form g, = C b(m, g) qm. Also, it can be shown (cf.
Lemma 3.2 of [7]), that if p,, the mod p representation attached to g, is
Thus p must divide one of the two terms on the right hand side of (10.2).
By Theorem 9.2, the first term is divisible by primes of congruence between
f and other elliptic cusp forms in S+ (or S-). Since we have assumed that
9 -
absolutely irreducible, then
gc (mod@)
a F~=P$,@XD
p is not a congruence prime for f , we must in fact have that o ~ e s c ( 4 is) reducible
u = ~ n d g ( ~for) , some mod p character 9 of ~ a l ( n / ~ ) ,
and, generalizing results of Shimura and others for k = 2, Hida has shown
That is, p E N . This shows one direction.
2.
[18] that such primes p have an arithmetic characterization: they are related
The above argument is essentially reversible. Suppose that p divides the 5 to the primes p dividing NFIQ(ek-l - 1).
twisted adjoint L-value for some f E Sf. Then divides the left hand side Now, by Theorem 9.2, the primes dividing D(Kg/Kg) occur in the first
of the the identity (10.2). By Theorem 9.3, there is a congruence f^ h' term on the right hand side of the analogue of the identity (10.2) for g.
(mod p) for some Hilbert cusp form h'. Assume that h' = 5 (g E S f ) is a However, the relations (4.4) and (4.5) show that ij = &, so that these
base change form. By Lemma 10.1, we see that f and g either both lie in primes do not 'lift' to congruence primes over F.5 Suppose momentarily
S+ or both in S-. If f , g E S-, then the relations (10.1) show that either that Theorem 9.3 (and its expected converse) is also valid for the set of
primes dividing N ~ / Q ( C ~- - ' I ) , which, as we have hinted at above, is
f r g (mod p) or f = g, (mod p), essentially the same as the set of primes dividing D(Kg/K5) as g varies
through the set of non-CM forms. Then any such prime, being lost on
contradicting the assumption that p is not a congruence prime for f . A lifting, would not occur in the numerator of the left hand side of the relation
similar argument applies if both f , g E S+ (though in this case admittedly (10.2) for g, and would therefore have to be 'compensated for' by occurring
the twist g @ x is~ no longer in the space S+). in the denominator of the second term in the right hand side of (10.2).
The upshot of all this is that h' is a non-base-change form, and so is a A numerical check (cf. the Table in Section 2.2 of [7]), confirms that the
Galois twist of h by the standing assumption (4.11). By replacing f with primes occurring in the denominators of the twisted adjoint L-value of
a Galois twist, we have a congruence of the form f^ h (mod XJ') for some
$see footnote t.
I
p' p, and this proves the other direction. 31n fact when D is a prime, the map BC- : S- + S is exactly 2 to 1 on eigenforms;
more generally see Proposition 4.3 of [31].
+-
58 Congruences Between Hilbert Modular Forms Eknath Ghate 59
g, as g varies through the set of non-CM forms, are the primes dividing Proof Suppose p E N \ B. Then by Proposition 10.2, there exists p p 1
~ ~ , ~ ( e *- -1).
' =
and an eigenform f E S+ or S- such that f^ h (mod g). Thus
Reversing our perspective, the existence of primes in the denominators
of the twisted adjoint L-value, suggests that Theorem 9.3 (and its expected c(m, f3 = ~ ( mh), (mod g) (10.3)
converse) should be valid for primes dividing NFIQ(ck-' - 1) as well. Thus
the apparent obstruction NFIQ(ek-' - I), which arose in [lo] as a measure for all ideals m c OF. Then if r denotes the automorphism of Kh (extended
of the primes of torsion of certain boundary cohomology groups, is likely to K ) making the diagram of display (4.12) commute, we have, (mod p),
to be more a short coming of the method of proof used there, rather than that
a genuine obstruction.
c(m, h)' c(ma ,h) by the commuativity of (4.12)
R e m a r k 10.5 The proof of Proposition 10.2 hinges on the validity of the I
r c(ma7f^) by(10.3)
I
integral period relation of Conjecture 6.1. Interestingly, Urban has some I r c(m,f3 by(4.10)
results towards the proposition that circumvents using these relations. His r c(m, h) by (10.3) again!
idea is that the primes dividing the twisted adjoint L-values are related
to the primes dividing the Klingen-Eisenstein ideal for and so, to Since the c(m, h) generate the ring of integersq of Kh we see that the in-
the primes dividing an appropriate twisted Selmer group. He is able to ertia group of the quadratic extension Kh/Kh+ at @ is non-trivial. Thus
establish one direction of Proposition 10.2 subject to some assumptions (cf. g ID(K~/K;), i.e., p E V. This shows that N \ B C V \ B.
Corollary 3.2 of [30]). For the other direction, an idea of D. Prasad, using \ To show the other inclusion, suppose that p E V. Then as above, we
theta lifts, may work (cf. Remarks following [30], Corollary 3.2). 1 see that
We now establish the connection of the primes in N with the primes in c(m, h) z c(ma7h) (mod g), (10.4)
V.Let F denote a finite field of characteristic = p. Recall the well known:
+) GL2(K,) denote
for all integral ideals m C OF. Let f i : ~ a l ( a / ~
a
Coqjecture 10.6 (Serre) Let : ~ a l ( ~ / Q+) GL2(F) be an odd irre- I the Galois representation attached to h (by Shimura, Ohta, Carayol, Wiles,
ducible mod p representation. Then is modular. Taylor [28] and Blasius-Rogawski [2]), and let p i denote the conjugate
I representation defined via
The following weaker version of Serre7sConjecture may be more accessible,
and in any case, it would suffice for our purposes:
The congruences (10.4) above show that the corresponding mod p represen-
Coqjecture 10.7 Let : Gal(a/o) + GL2(F) be an odd irreducible mod
tations F,, and
a
p representation. Assume that Re%@) is modular. Then is modular. I/ irreducibility)
are isomorphic. By general principles (assuming absolute
a,,
extends to a mod p representation, say g, of ~ a l ( a / Q ) .
I By Conjecture 10.7 one deduces that this representation is modular, say at-
R e m a r k 10.8 Using recent work of Ramakrishna [25], as well as work tached to an elliptic cusp form f . A careful analysis of ramification would
of Fujiwara [9] and Langlands, Khare now has some preliminary results (probably!) show that f E S+ or S-. This would finally yield the de-
towards Conjecture 10.7 under some hypothesis (see [21]). sired congruence I h (mod g). Thus p E N and this 'proves' the other
inclusion.
Proposition 10.9 Assume that the period relations of Conjecture 6.1, and 0
the 'weak' Serre Conjecture 10.7 is true. Then the main conjecture (i.e.
Conjecture 7.1) is true. That is,
l ~ e footnote
e t.
60 Congruences Between Hilbert Modular Forms Eknath Ghate 61
References [15] H . Hida, O n congruence divisors of cusp forms as factors of the special
values of their zeta functions, Invent. Math. 64 (1981), 221-262.
[ I ] A. 0. L. Atkin and W e n Ch'ing Winnie Li, Twists of newforms
and pseudo-eigenvalues of W-operators, Invent. Math. 48 3, (1978), [16] H. Hida, Modules of congruence of Hecke algebras and L-functions
221-243. associated with cusp forms, Amer. J . Math. 110 2 (1988),323-382.
[2] D. Blasius and J. Rogawski, Motives for Hilbert modular forms, [17] H. Hida, O n the Critical Values of L-functions of G L ( 2 ) and G L ( 2 ) x
Invent. Ma,th. 114 (1993),55-87. G L ( 2 ) , Duke Math. J . 74 (1994),431-528.
[3] K . Buzzard, O n the eigenvalues of the Hecke operator T2,J . Number [18] H. Hida, Global quadratic units and Hecke algebras, Doc. Math. (elec-
Theory 57 1 (1996), 130-132. tronic) 3 (1998), 273-284.
[4] J . B. Conrey and D. Farmer, Hecke operators and the non-vanishing [19] H. Hida and Y . Maeda, Non-abelian base change for totally real fields,
of L-functions, Topics in number theory (University Park, PA, 1997), Pacific J . Math. (Special volume in honor o f Olga-Taussky Todd) 189-
Math. Appl. 467, Kluwer Acad. Publ., Dordrecht, 143-150, 1999. 217, 1997.
[5] F. Diamond, The Taylor- Wiles construction and multiplicity one, [20] Y . Hiraoka, Numerical calculation of twisted adjoint L-values attached
Invent. Math. 128 2 (1997), 379-391. to modular forms, Experiment. Math. 9 1 (2000),67-73.
[6] K . Doi and H. Hida, Unpublished manuscript, 1978. [21] C . Khare, Mod p-descent for Hilbert modular forms, preprint, 1999.
[7] K . Doi and H. Hida and H. Ishii, Discriminants of Hecke fields [22] W . Kohnen and D. Zagier, Values of L-series of modular forms at the
and twisted adjoint L-values for G L ( 2 ) ,Invent. Math. 134 3 (1998), center of the critical strip, Invent. Math. 64 (1981), 175-198.
547-577. [23] T . Miyake, Modular Forms, Springer-Verlag, 1989.
[8] K . Doi and H. Naganuma, O n the functional equation of certain [24] H. Naganuma, O n the coincidence of two Dirichlet series associated
Dirichlet series, Invent. Math. 9 (1969), 1-14. with cusp forms of Hecke's 'Weben"-type and Hilbert modular forms
[9] K. F'ujiwara, Deformation rings and Hecke-algebras i n the totally real over a real quadratic field, J . Math. Soc. Japan 25 (1973),547-555.
case, preprint, 1996. [25] R. Ramakrishna, Deforming Galois representations and the conjec-
tures of Serre and Fontaine-Mazur, preprint, 1999.
[lo] E. Ghate, Adjoint L-values and primes of congruence for Hilbert mod-
ular forms, preprint, 1999. [26] K. Ribet, Mod p Hecke operators and congruences between modular
forms, Invent. Math. 71 1 (1983), 193-205.
[ l l ]E. Ghate, O n the freeness of the integral cuspidal cohomology groups
of Hilbert-Blumenthal varieties as Hecke-modules, In preparation, [27] G . Shimura, On the periods of modular forms, Math. Annalen 229
1999. (1977) 211-221.
[12] K. Goto, A twisted adjoint L-value of an elliptic modular form, [28] R. Taylor, On Galois representations associated to Hilbert modular
J. Number Theory 73 1 (1998),34-46. forms, Invent. Math. 98 2 (1989),265-280.
[13] G . Harder, Eisenstein Cohomolgy of Arithmetic groups, The case [29] R. Taylor and A. Wiles, Ring-theoretic properties of certain Hecke
G L 2 , Invent. Math. 89 (1987), 37-118. algebras, Ann. o f Math. 141 3 , (1995), 553-572.
[14] H. Hida, Congruence of cusp forms and special values of their zeta [30] E. Urban, Selmer groups and the Eisenstein-Klingen ideal, preprint,
functions, Invent. Math. 6 3 (1981), 225-261. http://www.math.uiuc.edu/Algebraic-Number-Theory, 1998.
62 Congruences Between Hilbert Modular Forms
1 Introduction
Let K / F be a finite extension of number fields. In this paper we study
the restriction map between the cohomology of congruence subgrups of
GL2(K) and GL2(F). We describe below the restriction map we study. As
notation, denote the degrees of K/Q, F / Q and K I F by dK, dF and dKIF
respectively. For a number field K we denote by IKthe set of embeddings
K + C, by SK the set of infinite places (equivalence class of embeddings)
of K , and by C (EX) and C (C) the real and complex places of K (SK =
CK(R) U CK(C)). We denote by r l , the~ number of real places in SKand
~ number of complex places in SK.We denote by
by r 2 , the
the symmetric space for GL2(K); the superscript + stands for the sub-
group of GL2(R) with positive determinant. For v € SK we denote by
K v the completion of K at v, by g, the Lie algebra of GL2(Kv), by K v
a maximal compact mod centre subgroup, and define g~ := llvESKgv,
KK := IIvESK K,. We will often drop the subscript K if that is unlikely to
cause confusion. For a group H we denote by I? the quotient of H by its
centre.
Let l7 (respectively, I?, := g-117g n GL2(F) for g E GL2(K)) be a
congruence subgroup of GL2(K) (respectively GL2(F)). Assuming that I'
(respectively, I?,) is torsion-free, F (respecticely, Fg) acts freely and discon-
tinuously on XK (respectively, XF) . We have isomorphisms:
a proper mapping r g \ X F + g-lrg\XK that induces a map By general results of Borel, the map up (and hence p) is injective. The map
v is in general not injective. Thus we may define the cuspidal sgbspace of
H*( r \ X K ,C) by H&,(I', @) := Im(up), and also denote by H&(r, C)
the image of discrete cohomology in the f$l cohomology. In the case at
Thus we obtain the (Oda) restriction map: hand we also know by [Har] that Im(u) = H&(r\XK, C).
As the map rg\XF -+ r \ X K is proper (this is a consequence for instance
of the proof of Proposition 1.15 of [De]), we have a map on compactly
supported cohomology:
1.2 Comments
1. Unlike many of the earlier studies of the restriction map, our situa-
tion is non-algebraic, i.e., at least one of r,\XF and r\XK is not a
quasi-projective algebraic variety in most situations for non-trivial sit-
-
where Hiisc etc again denotes the image of discrete cohomology in the full
uations of restriction of (image of) cuspidal cohomology; for compact
cohomology when K I F is quadratic and K, F both totally real, and
cohomology.
thus the above map can be viewed as a morphism of quasi-projective
We state below the main results proven in this paper. varieties, the map sometimes can be non-trivial in degree 2dF.
Restriction Maps and L-values Chandrashekhar Khare 69
2. There is no map H & r p ( r \ X K , M ) -+ Hfusp(rO\XF,M) as the besides the well-known limitations on degrees of cuspidal cohomology
restriction of a cuspidal function need not be cuspidal. We will give imposed by (g, K ) cohomology calculations, we do not need to use
below instances of this (see also 5 below), and show in fact that the the latter in any serious way.
cuspidal summand of compactly supported cohomology need not be
preserved under restriction (cf. Proposition 3.3 below). This is unlike 8. We do not have a complete analysis of restriction maps within the
the case for restriction of holomorphic cuspidal classes in the coho- framework of this paper for compact support cohomology, as (g, K)
mology of Shimura varieties (to (holomorphically) embedded subva- cohomology arguments cannot be directly used to prove even vanish-
rieties), which are always cuspidal (Proposition 2.8 of [CV]). ing.
3. It i s true that we have a restriction mapping S(r\GL2(K 8 R)) - + 9. The methods of this paper are analytic. In a companion piece (cf.
S(rg\GL2(F 8 R)). This follows from Lemma 2.9 of [CV] (though [K]) we will prove injectivity results for restriction using algebraic
the result stated there is for Shimura varieties, it is easily checked methods, and with special attention to mod p cohomology.
that the proof extends to our situation). Thus as rapidly decreasing
automorhic forms are cuspidal (see [C]), the restriction of cuspidal Acknowledgements
functions not being cuspidal is due to the fact that the restricted
function may not be SF-finite, for SF the centre of the universal I am grateful to Haruzo Hida for helpful correspondence. I also thank
enveloping algebra of g&(F 8 R). This is automatically the case for Eknath Ghate, Arvind Nair and Dipendra Prasad for helpful conversations.
holomorphic forms on Shimura varieties. I specially thank Don Blasius for a key suggestion that led to the proof of
the first part of Theorem 1.1.
4. In the situation of Theorem 1.1 if f is the twist of a base change
form one can obtain sharper results about the level a t which the
restriction is non-zero. 2 Cohomology of congruence subgroups of
5. In the situation of Theorem 1.2, with K I F a CM extension, and GL2 of number fields
* = d F , when f is a base change form from GL2(AF), Res,( f ) is
never cuspidal. 2.1 Cusp forms and the Eichler-Shimura isomorphism
6. The non-vanishing statements in these theorems are simple conse- The main references for this section are Sections 2 and 3 of [HI; we only
quences of well-known results about integral expressions of L-series briefly sketch the association of differential forms to cuspidal, automorphic
associated to automorphic representations (of GL2 and GL2 x GL2) functions to the extent that we require below. These span the cuspidal part
and non-vanishing results about special L-values (in the context of of the de Rham cohomology of congruence subgroups of GL2(K) for K a
Theorem 1.1 even the vanishing statement follows from considera- number field.
tions of L-functions). For this reason we will only give enough detail , We persevere with all the notation introduced in the introduction. Let
in the proof to convince the reader that our results follow readily from UK be a neat, open, compact subgroup of GL2(K), with K a number
those of [HI, [HI], [R] etc. The purpose of this paper is to show that field with rl,K real and r 2 , ~
complex places. We will denote the algebraic
these results about L-values give a coherent picture of the restriction group associated to GL2 by G. For each complex place a E SK,we consider
maps studied here. L, (C), the homogeneous polynomials in Xu, Y, of degree 2 with the natural
action of GL2(C). We consider L(2; C) := @,,c(q L, (C) (we will drop the
7. Unlike in the case of restriction of holomorphic classes of Shimura subscript K from CK(R) etc.). Let J be a subset of C(R) the real places
varieties, in our "non-algebraic" setting, (g, K ) cohomology argu- of K . Consider functions
ments are not capable of proving non-vanishing results, though of
course if the restriction map vanishes at the archimedean places then
it does vanish in (cuspidal, or image of cuspidal) cohomology of
the corresponding discrete groups (see Section 2.2). In this paper, which satisfy the conditions:
70 Restriction Maps and L-values Chandrashekhar Khare 71
1. They are in the kernel of the Casimir operator (x E C, y E R # 0) is the hyperbolic upper-half 3-space if v is a complex
place and
3. f(xu; x) = f (x; u,x)e(C 28, - 20,) where e(s) is e2nis, (x, y E IW, y # 0), if v is a real place. The action of GL2(R)+ and GL2(C)
u E U K C and
~ the components of u, at the real places are on XK, is explicated in [HI in these co-ordinates. A basis of differential
forms for XKv at
in the real case is given by (dx, -dy ) and in the complex case by (dx, -dy ,&).
The action of u, on x is through its components at complex places. These have nice pull-back properties detailed in [HI (pg. 458).
Formally replacing ( X : ,Xu Y, ,Y : ) , by either
4. SU!K)\U(AKf (us; x)du = 0, for almost all x E G(AK) with U a
unlpotent subgroup of G.
for 7 in Pi.
We have Taking direct limits we have:
with XK, := GL2(KV)+/CVwhere SKis the set of archimidean places of K , In [HIthe Hecke action on both sides is described, and $is equivariant for
the subscript v denotes completion at that place, and C, are the maximal, this action. A newform f gives rise to class S(f) that is an eigenform for
connected compact subgroups modulo the centre (thus if v is a real place, the Hecke action, in the space H*(XU,, 4' for a suitable open compact
we may take C, = R*SO2 (R), and if v is complex C, = cC'U2(C)). Now subgroup U of GL2(AK), and a fixed degree * between rl r2 and rl + +
2r2. Further we note that the SJ(UK)'s for different subsets of C(R) are
related to each other by the action of the group of connected components
of G(K 8 R) (cf. pg 473 of [HI).
72 Restriction Maps and L-values Chandrashekhar Khare 73
Proposition 2.1 For a cusp form f as above, we have a function af :I+ @ VA = { f : GL2(@)+ @I f (bg) = X(b), f K,-finite)
such that af vanishes outside the set of integral ideals and
where B is the subgroup of upper triangular matrices, X being the character
We have
Here W is a Whittaker function, [C] are the real places a form which Cu if i = 1,2 and zero otherwise. This follows from the fact that V'lK =
is positive, e~ is the adelic exponential function, and 6 is the idele element @ i > o Sym(2i), and !$.I and /I2!$.I are ismorphic to sym2 of the standard rep-
corresponding to the discriminant of F I K ; for the definition of all these resentation of K = @*U2(@),with !$.I being the (3-dimensional) parabolic
terms we refer to Section 6 of [HI. subalgebra normalised by @*U2(@),and that is orthogonal to its Lie alge-
The L-function of a cuspidal newform as above can now be defined as: bra. The constant representation has cohomology in degrees 0 and 3.
Case W
We recall the results here even more sketchily than before, as we do not
where m runs over the ideals of K . need detailed information for the results proven in this paper.
In this case the constant representation has cohomology in degrees 0
2.2 (g, K) cohomology and 2, i.e.,
rl real and 7-2 complex embeddings, congruence subgroups of GL2(K) (x,y E W,y # 0) into the hyperbolic upper-half 3-space:
have non-constant cohomologyl with coefficients in a complex alge-
+
braic representation of GL2(K), for degrees between rl,K r2,K and
+
rl 2 r 2 , ~Here
. by constant cohomology we mean the image of the
cohomology of H*(g,K ; C) where g is ge2(K8 R) and K its maximal
compact, in the congruence subgroup cohomology.
(x E C, y # 0 E R). We have inclusions:
2. The restriction maps of the introduction can be seen from the point of
view of (8, K)-cohomology. As we chose embeddings so that we had
an inclusion of the compact subgroups at the archimedean places, the
restriction map (1.1) of the introduction is just the map: given by:
VF F * \ I ~ / v -+
lim ~ F%F
~
3 Restriction in compactly supported
cohomology where VK (respectively, VF ) are compact open subgroups of the finite ideles
of IK (respectively, IF). Thus we have the induced maps on cohomology:
We divide our analysis according to the degree of cohomology that we
are studying. We use results about non-vanishing of special values of L-
functions due to Rohrlich, cf. [R], to prove the first part of Theorem 1.1.
Proof We will draw heavily from [HI, and use its notation too. Set d = d F . Claim: The image of 6(f ) under the map
The embedding of XF in XK is given by the inclusion of the upper half-
plane
( -3 is not-zero.
76 Restriction Maps and L-values Cbandrashekhar Khare 77
We will prove the claim, arguing by contradiction. Let UK be a neat, Proof We claim that for any d( f ) E H ~ ~ S , , ,(C),
~ ~coming
, from a cus-
open compact subgroup such that the differential form S(f ) corresponding pidal form f , there is a finite linear combination
to f , an association that we have recalled above ((2.2) and (2.3)), is in
Hd (Xu, ,@) = $H~( r i \ ~ Kc), , for finitely many congruence subgroups
ri of GL2(K). Throughout we are using de Rham cohomology.
We have proper maps
of 6(f), such that f' is a newform. This
(ai E C ) of GL~(A~)-translates
follows from:
for each i where Ei's are subgroups of 0; of finite index. These induce 1. The multiplicity one theorem for cuspidal newforms
maps:
2. The Eichler-Shimura isomorphism above, from which we deduce that
as dF is the lowest degree in which congruence subgroups of GL2(K)
have cuspidal cohomology, multiplicity one also holds for the coho-
where the last isomorphism comes from integrating over E,. The compu- mology HtlSp(ZK ,4.
tations on page 484 and 485 of [HI show that the image of 6(fi) under
this map is a non-zero multiple of the value of the partial L-function of Namely from 1 and 2 above we deduce that certain linear combina-
f at s = 1. Now for any primitive Hecke character 4, of finite order and tion of GL~(A!,)-translates of S(f) gives a non-zero element that under
conductor c, we have the twisting operator: the GL?(As)-action on ed=,,
( a K ,@) generates an irreducible (admissi-
ble) representation. From this the claim follows, and thus the corollary
follows from the theorem.
with
Remarks
1. As we will see below in Proposition 3.4, it is not true that the restric-
with u E ( c - l / O ~ ) * . Fkom this we see that all the twists of f by finite tion of a cuspidal form is cuspidal (Proposition 3.4 shows this even
order Hecke characters are sums of GL~(A!,)-translates of f E H,d(ZK, C). in cohomology). In fact we will see below that it need not even be in
Further for almost all characters +, f @+ is a newform. Thus from the above the discrete part of the spectrum.
considerations we deduce that L(1, f @ 4) = 0 for (almost) all characters
2. The claim that occurs in the midst of the proof of the theorem above
4. This contradicts the main theorem of [R], and thus the assumption that shows the stronger statement that the restriction maps associated to
the image of f under the map
the embedding of split torus in GL2(K) is injective. Note that the
"integral" points of split tori in GL2(K) and GL2(F) are the same
(as the rank of the unit groups of the rings of integers of K and F
is identically 0, is wrong. This proves the theorem. are the same).
H. Hida has kindly pointed out to us that in fact we may deduce the 3.1 Asai L-funct ions
stronger statement: We will prove the second part of Theorem 1.1 using information about
(special values of) Asai L-functions. The Asai L-function coresponding
Corollary 3.2 The restriction map considered in the theorem above: to a cuspidal newform f of GL2(AK) (of weight 2) as above (see (2.4) of
Section 2), with respect to a quadratic extension K I F is given by:
where the summation runs over the the ideals of K extended from F , and
78 Restriction Maps and L-values Chandrashekhar Khare 79
df is the restriction of the central characater of f to A>. Let a denote the Proposition 3.3 Let S(f) be a diflerential form (associated to a new-
non-trivial automorphism of K I F , and f " the a-conjugate of f (i.e., via form f ) in H,'(XV, ,C), such that 7rf is the base change of .rr' an auto-
the action of a on AK). We note the relation: morphic representations of GL2(&) with central character of non-trivial
conductor, prime to the discriminant of KlQ. Then Resc(f) projected to
H: (XUKnGL2(Q), C) is non-zero.
where ( I Y K I Fis the character of the extension K / F . If f is a base change
newform of a newform g of GL2(AF), we have the relation:
Remark Though we have stated the proposition in the above form for
simplicity, a similar result can be proven when wf is the base change of
T' whose central character has arbitrary conductor; in that case we may
where y!~ is the (finite order) central character of g. have to work with a twist of f and hence the restriction will be non-trivial
We begin by noting that there is another approach to the theorem we a t a congruence subgroup of higher level than UK n GL2(Q). But the
have proved above, at least for (some) f's such that the corresponding level may still be controlled. This is unlike the situation of Theorem 3.1
automorphic representation is a base change from GL2(F). This method where one cannot even hope to control the level (or equivalently, control
gives sharper results in that case. the GL~(A!,)-translates of 6(f)) at which the restriction will be non-zero.
Let us assume for simplicity that K is an imaginary quadratic extension, Note that the pairing:
and hence F = Q (as the reference [GI we are using assumes that). The
method rests on the perfect pairing:
dim(X~) (i) Non-vanishing We fix the choice J , J' as above, and consider the
(i) If K I F is quadratic, * = dim(XF) and SJ,J, (f) E Hc ( X K , ~is) restriction of 6 J t ( j ) E H ~ ~ (~x u(x ,~ to )H ~ ~ (~x u(F ,~
C) F C)Ffor)suit-
the differential form associated to a (cuspidal) newform f , with J, J'
as in the previous sentence, then Resc(SJ, ( f )) is non-zero whenever
Jl
able open compact subgroups UK and UF of GL2(AfK) and GL2(A$)
f is the twist (by a finite order character) of a base change of a cus- respectively. As we are in degree that is the dimension of the real manifold
pidal, automorphic representation of GL2(AF) if one of the following XF, it will be enough to show that:
conditions hold:
(a) K / F is a CM extension
( b ) The archimedean places of F split in K for some f' that is in the space spanned by the GL2(A:, )-translates of f ,
(c) The central character $ of g is ~ K I F . where IF denotes the restriction or pull-back under Xu, + Xu,. By the
above integral we understand the sum of integrals
(ii) If K / F is quadratic, * = dim(XF) and 6J, (f) E Hcd i m ( X ~(XK,
JI
) -
c ) is
the diflerentid form associated to a (cuspidal) newform f , with J , J'
as in the first sentence, then Resc(SJ, (f)) is zero whenever f is not
JI
finishes the proof of this part of the theorem. cohomology (XK,Q) (the middle dimension of Z K ) via the
The comment before the statement of the theorem arises because in [HI] tensor induction @,pu (cf. [BL]) of the 2-dimensional t-adic Galois
the above integral is interpreted as the residue of the Asai L-function that representation p attached to f (where o runs through the embeddings
has the integral expression (upto I' factors and constants) of K). On .the other hand, the l-adic cohomology of H : ~ F ( Z F Q, )
is abelian (as idF is the dimension of z F ) . The restriction maps are
Galois equivariant for small enough open subgroups of GQ. Thus we
would want that @,pU has abelian quotients for the restriction map
for a suitable f ' and open compact XuF, and an Eisenstein series E(s) on the "f -component" to be non-zero. This can be made precise and
defined in [HI]. The series has a pole at s = 1 and thus (3.2) arises by explains the results of Theorem 3.5 in that case.
taking residues at s = 1.
We now go to: 4. In Theorem 3.5, the restriction being zero or non-zero depends on
"arithmetic information" at all the places of the automorphic rep-
(ii) Vanishing As we are in degree that is the dimension of XF, to show resenttaion n attached to f (i.e., whether we are restricting a base
vanishing of the pull-back of 6(f) (we suppress J, J' from the notation) it change form or not), rather than just archimedean information which
will be enough to check that all the integrals above is the only relevant information for restriction of holomorphic classes
in the setting of Shimura varieties (as in [CV]). Note that even in
the one case where we are in the setting of Shimura varieties in the
theorem (i.e., K and F both totally real), our choice of J ensures
that we are restricting a non-holomorphic class. This dependence (on
vanish, where f: is a G L ~ ( A translate
~) of f,. This is enough simply whether the automorphic representation is "distinguished" or not (cf.
because [J], [Fl]) can perhaps be explained from the (g, K)-cohomology point
~ , d i m ( x(~r i) \ X F C) C
of view (see Section 2.2 above and also the end of Section 4 below),
and the isomorphism arises by integrating a compactly supported differen- by noting that in the situation of the theorem we will be considering
tial dim(XF) form over r i \ X F . In [HI] each of these integrals is interpreted a map (at each infinite place) of the form Vj, @ Vx -+ C (this is the
as the residue at poles of some partial L-series of twists of As(f) at s = 1. form at a complex place of F ) ; if a real place of F splits in K then
But these partial L-functions are holomorphic under the assumption that the map involved is Vdisc 8 Vdisc-+ (C; if a real place stays inert the
f is not the twist of a base change form; this follows from results of [St], map involved is VA 4 C. The point is that the target is the trivial
[S2] and [HLR], and formula (3.1) above, as explained in [HI]. representation, rather than an infinite admissible representation as
0 will be involved in arhimedean considerations in the situation of say
Theorem 3.1 above or Theorem 4.3 below.
Remarks
1. In this case too, the Asai L-function gives sharp results about the 5. It is interesting to note the important role (as in Proposition 3.3
level at which the restriction map is non-zero. above, but with a twist!) played by the central characters of the form
2. Results like the above, in the broader context of "distinguished repre- that gives rise to f by base change in part (i) (see also Proposition
sentations", have been pursued in many papers of Jacquet, Jacquet- 0.1 of Fl]).
Ye, Flicker etc. (the interested reader may consult [J] for a survey
and bibliography on the subject).
4 Restriction maps in cuspidal cohomology
3. In the case when K and F are both totally real, one may give a
Galois theoretic perspective on the vanishing part of these results - -
We first have to justify the statement we made in the introduction that
(see [HLR]). As in that case both the manifolds zK
and XF are fi&sp (-fox) ,C) is indeed mapped to IIGL2(AL H ( X ,) under the
pro-algebraic varieties. The newform f contributes to the l-adic &ale restriction map.
Restriction Maps and L-values Chandrashekhar Khare
<
+
the integer r1.F 2 r 2 , ~and this happens if and only aj = 0, bi = 1 for
1 5 i r1,F. Equivalently this happens only if dKIF = 2 and K has no
the compact cycle in zF coming from F' = K we see, just as before in the
proof of Theorem 3.1, that Res,..,(d( f ) Jg) vanishing, for all g E G L (A&-),
~
real embeddings (leaving aside of course the uninteresting situation when contradicts results of [R].
dKIF = I!). This justifies part of an assertion made in the introduction. 0
86 Restriction Maps and L-values
Corollary 4.4 The restriction map considered in Theorem 4.3: does not vanish; the last arrow arises from the (essentially) unique non-
trivial map Vx 8 VA+ VAthat exists by [L] (see Section 2.2 for the notation
being used). Thus the restriction map does not vanish for trivial reasons.
is injective. We justify this; but before that we remark that indeed.= already said in
the introduction, we cannot deduce non-vanishing of restriction maps by
Proof The proof is identical to the proof of Corollary 3.2. simply knowing the non-vanishing a t infinity (in contrast, for example, to
0 the situation studied in [CV]).
Now for the justification: we know that HornK( p , VA)is one-dimensional,
Remarks generated by say f , and so the first map above is specified by
1. Though we have gotten by cheaply above, we could also have used
the fact that integrating newforms f against compact cycles in ZK
coming from an extension K F ' I K (that arises from F'IF), one gets
thus it takes values in h2(VA8 V,). The map f takes 71 to the sym2(C)-
L(1, f 8 aFtIF. NrnKIF); thus we could have used tori arising from
other quadratic extensions of F than K .
2. Just as in the proof of Theorem 1.1 we have proven in fact something
-
summand of Vj, lK = @,>I ~ ~ m ~ ~and ( @
thus
) ,h2(f ) takes values in h2(sym2)
sym2(@). We have-to show that this subspace is not mapped to 0
under the unique (g, K)-equivariant map VA@ V', + VA. This follows from
stronger, i.e., that the restriction maps associated to the embedding Proposition 4.2 of [L] which is attributed to D. Prasad there, whom we also
of the tori common to GL2(K) and GL2(F) are injective. thank for these arguments.
One cannot test non-vanishing of the restriction on the cuspidal sum-
mand by integration against non-compact cycles (coming from split References
tori in GL2(F)). For example, when the degree of the cohomology
is dim(XF), integrating the restricted differential form associated to T. Asai, On certain Dirichlet series associated with Hilbert modular
a cuspidal newform can sometimes be non-zero (as we saw above in forms and Rankin's method, Math. Annalen 226 (1977), 81-94.
Theorem 3.5), but still the map from cuspidal summand to the cus-
A. Borel, Stable real cohomology of arithmetic groups. 11, Manifolds
pidal summand is zero as there is no cuspidal cohomology in degree
and Lie groups (Notre Dame, Ind., 1980), 21-55, Progr. Math. 14,
dim(XF) .
Birkhauser, Boston.
Let us assume now that we are in the one left-over case in which the
restriction map may be non-trivial that is not ruled out by degree consid- J-L. Brylinski, J-P. Labesse, Cohomologie d'intersection et fonctions
erations as in Lemma 4.2; i.e., the situation when K I F is quadratic, K is L de certaines varietes de Shimura, Ann. Sci. Ecole Norm. Sup. (4)
totally imaginary, and F has a t least one complex place. Then we want to 1 7 (1984), no. 3, 361-412.
study the restriction map: A. Borel and N. Wallach, Continuous Cohomology, Discrete Sub-
groups, and Representations of Reductive Groups, Mathematical
Surveys and Monographs, 67 Second Edition, American Mathemat-
+
with * = dF (= rl,F 2 r 2 , ~the
, highest dimension in which zF
has
ical Society, 2000.
cuspidal cohomology). We have not yet studied this case, and only make W. Casselman, Automorphic forms and a Hodge theory for congru-
a few preliminary remarks below about what is happening at the infinite ence subgroups of SL2(Z), Lie group representations, 11; SLN 1041,
places. Springer-Verlag, 1984.
We note that the map:
L. Clozel, T. N. Venkataramana, Restriction of the holomorphic co-
homology of a Shimura variety to a smaller Shimura variety, Duke
Math. J . 95 (1998).
88 Restriction Maps and L-values
3 Eichler-Zagier map
where PJ(m) is the @ span of P(D,r)with (D,m) = 1 .
Let
Proposition 3.4 If 4 E J;YT(M), 6 $ Pj (m), then
~ l (mod
r 4m)
~
Corollary 4.2 The Strong Multiplicity One theorem is true for the space
m,new
S,-,,, (mM) and J;y'neW
(M) .
References
[I] A. 0. L. Atkin and J. Lehner, Hecke operators on Fo(m),Math. Ann.
185 (1970), 134-160.
[2] M. Eichler and D. Zagier, The theory of Jacobi forms, Progress in
Mathematics 55, Boston-Bikhaiiser 1985.
Arvind N. Nair 95
There is notation to be explained: (b) How easy is it to evaluate the formula? It involves calculating:
0 9 is a set of representatives for the I?-conjugacy classes of rational x(I')?Suppose that V is a semisimple simply connected group
parabolic subgroups of G . For P E P with Levi quotient L, P = scheme over the ring of integers Bk of some number field k and
P(R), L = L(W) and rLis the projection of r n P to L. I? = g(Bk). Then ~ ( r has
) an explicit formula in terms of the
values of the zeta function of k at certain negative
integers. (When is splitlk this is Harder's Gauss-Bonnet for-
~ ( r is) the Euler characteristic of I' when I' is torsion-free. If I' has mula [HI and the final word on the subject is [PI. Note that
torsion, choose a torsion-free I" c I' and set ~ ( r =) (I': I")-lX(I"). these formulae incorporate subtle arithmetic facts about Tam-
e.g. x(SL2(Z)) = -1112. agawa numbers etc.) e.g. for I' = Sp4(Z) we have ~ ( r = )
C(-~)C(-~)ISP~(~/(P))~.
choose a minimal parabolic subgroup Po E 9 and let Lo be its Levi
quotient. Let A. denote the identity component of the group of real 0 9: Terms coming from conjugate parabolic subgroups are equal,
so one has to compute numbers of I'-conjugacy classes of parabolic
points of the maximally split central torus of Lo. Choose a Cartan
subalgebra $ and a Bore1 subalgebra b > $ of gc such that b c subgroups. In general this will involve class numbers and may
be difficult.
Lie(Po)c and Ij > a0 = Lie(A0). Then p E $* is half the sum of the
positive roots (i.e. of the roots of 9 in b) and h E $* is the highest Wo(P), d i m ( E k ( ~ + ~):) These
-~ are easily calculated.
weight of E.
2.4 An example
Wo(P) is a certain subset of the Weyl group W = W($,g) defined
as follows: Suppose first that P > P o and A c Ao,a c % are the In [GHMN] the formula is evaluated for I' = I?(n) the principal congruence
subgroup and subalgebra defined by P. Let Wp be the Weyl group of subgroup of Sp4(Z) of level n and E = C :
Ij in Lie(L); it is naturally identified as a subgroup of W. Let W(P)
be a set of left coset representatives for Wp in W that are of minimal
length. Then Wo(P) c W(P) is the subset of elements w such that
w ( h+p) la is positive (in the natural notion of positivity for characters
on a). If P E 9 does not contain Po it is G(Q)-conjugate to some
P' 3 Po,and we set Wo( P ) = Wo(P') . 2.5 Some remarks on the proof of the formula
Suppose that we have a compactification X of X and a complex of sheaves
E & + ~ ) -is~the irreducible representation .of L with highest weight 2" on X such that
W(A+ p) - p E $* (here I) is thought of as a Cartan subalgebra of
Lie(L)c).
(lHP means hypercohomology). Suppose further that fT is stratified W =
This explains all the elements of the formula. U,Xi with manifold strata Xi such that the cohomology sheaves of 22"
98 The LZ Euler Characteristic of Arithmetic Quotients Arvind N. Nair 99
are locally constant along each Xi. Then the Euler characteristic of the left
into cuspidal and residual spectrum. These induce decompositions in
hand side of (2.2) is given by
(g, K)-cohomology; under the assumption that G/AG has a discrete series
[BC] shows that H *(g, K; L:.,,(I'AG\G) 8 E ) = 0 and so
3 An application Let the packet of such representations be denoted DS(E*). The second
useful fact is an observation of Wallach [Wl]
3.1 L2 Euler characteristic in towers
A tower is a sequence I'i 3 I'i+l(i 2 0) of normal subgroups of I' of finite FACT 2: If r is tempered then it cannot appear in L&,(rAG\G).
index such that niri= (1). An immediate corollary of Theorem 2.1 is
There is a Hilbert space decomposition of L2(r&\G) into discrete and This induces an algebraic direct sum decomposition in cohomology and
continuous spectrum hence an equality
where
~ E)
~ ( ~ , 8 ) (=r x(-1)'
i
dim ~ ' ( g j ,K; n @I E).
100 Arvind N. Nair
The L2 Euler Characteristic of Arithmetic Quotients
Now suppose that E has regular highest weight. By FACT1 the only Remarks
contribution to the right side of (3.2) is from r in DS(E*) and then FACT Savin [Sa] showed that, for any r ,
2 implies that L&x(r, E) = 0. Therefore:
lim
m(n7ri) < d,
i--too p(riAc\G) -
where d, = 0 for non-discrete-series representations. Combined with
the above, this establishes the optimal result, namely that the limit
Now suppose that we have a tower {ri}. Then is exactly d, (in the cocompact case this result is due to DeGeorge
and Wallach [DW]). Clozel [C] showed, in the adelic setting, that the
limit is positive with an added condition about the local factor at one
prime, a result that is more useful for arithmetic applications.
Theorem 3.3 immediately implies a stable nonvanishing theorem for
Hence, in the limit, by Corollary 3.1,
(cuspidal) cohomology in the middle dimension. Instead of computing
an Euler characteristic one could compute the trace of an automor-
phism of finite order in the L2 cohomology (by topological means)
and deduce nonvanishing results (see e.g. [RS2] and other work of
these authors).
3.4 Comparing measures
Let w be Harder's N Gauss-Bonnet form on G; it satifies JrAo\? w = ~ ( r ) . References
The following lemma relates it to the formal degrees d, of rr in DS(E*) [BC] A. Bore1 and W. Casselman, L2 cohomology of locally symmetric
and the Haar measure p on rAG\G. manifolds of finite volume, Duke Math. J. 50 (1983), 625-647.
It follows from (3.3) and Lemma 3.2 that [GHMN] M. Goresky, G. Harder, R. MacPherson and Arvind Nair,
Local intersection cohomology of Baily-Bore1 compactifications, to
appear.
Theorem 3.3 [RS, Theorem 1.51 For a tower {Ti} of arithmetic subgroups
[GM] M. Goresky and R. Macpherson, Local contribution to the
m ( ~r ,i ) Lefschetz filced-point formula, Invent. Math. 111 (l993), 1-33.
= d,.
nEDS(E8) , ' " R ~ ( r i A ~ \ G ) ,EDs (E*)
[HI G . Harder, A Gauss-Bonnet formula for discrete arithmetically
defined groups, Ann. Sci. ~ c o l eNorm. Sup. 4 (1971), 409-455.
The L2 Euler Characteristic of Arithmetic Quotients
In this paper we make a conjecture about the structure of VN,+, when Acknowledgement The author thanks TIFR for the invitation to speak
the group is GL4(k), or GL,(D) where D is a quaternion division alge- on this work in the conference on Automorphic Forms in December, 1999.
bra. Before we state our conjecture which tells exactly which represen- This work was written when the author was visiting the University of Paris
tations W of GL2(k) or D* appear in VN,+, we recall that by Langlands Nord under the CEFIPRA programme 1501-1 in the summer of 1999.
correspondence for G = GL4(k) or GL2 (D), for any irreducible admissible
representation V of G there is a natural Cdimensional representation of the
Weil-Deligne group Wk of k which will be denoted by o v . 2 Calculation of degenerate Whittaker
Here is the main conjecture. The statement of the conjecture involves models for principal series
epsilon factors attached to representations of the Weil-Deligne group of k
for which we refer to the article [Ta] of Tate. We are able to prove this con- Let nl and n2 be irreducible representations of GL2(k) . Denote by Ps(rr1, lr? )
jecture only for those representations which are irreducibly induced from a the principal series representation of GL4(k) induced from the (2,2) para-
proper parabolic subgroup in which case the conjecture reduces to author's bolic with Levi subgroup GL2(k) x GL2(k). In this section we calculate the
earlier work on the trilinear forms for representations of GL2, cf. [PI]. We twisted Jacquet functor of Ps(nl, 712).
will also reformulate the conjecture for many other representations so as to
not involve epsilon factors directly. Theorem 2.1 The twisted Jacquet functor Ps(rrl, n2)N,+ of P s ( n l , a2)
where nl and n2 are irreducible representations of GL2(k) neither of which
Conjecture 1.2 Let V be an irreducible admissible generic representation is l-dimensional, and with central characters wl and w2 sits in the following
of G = GL4(k) (respectively of GL2(D) whose Jacquet-Langlands lift to exact sequence
G 4 is generic) and W an irreducible admissible generic representation
of H = GL2(k) (respectively D*). Assume that the centml characters of
V and W are the same. Then H O ~ ~ ~ ~ ( ~W) ][#V0~ if, + and
, only if
,+#
c[(h20v) C3 o h ] = (det ow)(-l), and H o ~ D * [ ~ NW] , 0 if and only if Here Ps(wl, w2) is the principal series representation of GL2(k) induced
c[(h20v)8 o h ] = -(det ow) (- 1). from the character (wl, w2) of k* x k*.
R e m a r k 1.3 The above conjecture is essentially Conjecture 6.9 of [G-PI Proof Let P denote the (2,2) parabolic stabilising the 2-dimensional sub-
for the particular case when the orthogonal group is of 6 variables which is space {el, e2} of the Cdimensional space {el, e2, es ,e4}. The set GL4 (k)/P
closely related to GL(4). The motivation for the present work comes from can be identified to the set of 2-dimensional subspaces of {el, e2, e3, e4);
some work which the author has done with A. Raghuram in [P-R] which two elements of GL4(k)/P are in the same orbit of P if and only if the
is an attempt to develop Kirillov theory for GL2(D) in which the space of corresponding subspaces intersect {el, e2) in the same dimensional sub-
degenerate Whittaker models plays a prominent role. The global analogue spaces of {el,e2). It follows that there are three orbits of P on GL4(k)/P
of the space of degenerate Whittaker models that we consider will consist corresponding to the dimension of intersection 0, 1, 2.
in looking at the following period'integral: Denote by w the automorphism which takes el to e3, e2 to e4, es to el,
and e4 to e2. Also, denote by W23 the automorphism which takes el to el,
e2 to e3, e3 to ez, and e4 to e4. It follows that we have the decomposition
Jacquet functor. Since P n wPw = GL2(k) x GL2(k), it is easy to see that from which it is easy P
to see by Fkobenius reciprocity that the twisted
Jacquet functor of Indpn,23pw23(nl 8 n2) is Ps(wl ,w2), completing the
proof of the theorem. 0
as a representation space for N = M2(k). From this isomorphism it is easy
to see that the twisted Jacquet functor of C = 1ndgL2(*) xCL2(k) (a1 8 r2)
is a1 8 a 2 a s a representation space for GL2(k). Finally we calculate the
twisted Jacquet functor of B = ~ n d ~ ~ , 8 ~ a2).
~ ~For , this,
~ ~ we ( ~first
l
3 Principal series representations
need to calculate P n w ~ ~ P For w ~this
~ purpose,
. we note that since P In this section we prove Conjecture 1.2 for those representations V of
is the stabiliser of {el, e2}, w ~ ~is P thew ~ ~ of the 2 dimensional
stabiliser GL4(k) which are induced from a representation, say a1 8 7r2 of the Levi
subspace {el, e3). Therefore P n w ~ ~is P thew ~ ~ of the pair of
stabiliser subgroup GL2(k) x GL2(k) of the (2,2) parabolic. If the Langlands param-
planes {el, el) and {el, e3}. It follows that P f l w23Pwz3 is exactly the set eters of the representations a1 and a 2 of GL2(k) are 01 and 0 2 , then the
of matrices of the form Langlands parameter a v of V is a1 @ 02. Therefore,
Therefore,
by x -+ W23ZW23.
Observe that since a1 is not 1-dimensional, the representation a1 has
a Whittaker model, and hence there is exactly a 1-dimensional space of
linear forms, generated by el, on which the upper-triangular unipotent
matrices operate via the character +. Similarly we find a linear form C2 on It follows that
a 2 . Therefore recalling the expression for ~ 2 3 ~ given
~ 2 3earlier, the set of
matrices of the form
211 513 512 514
Therefore,
0 522 e(A2av 8 ah) = det(ow)(-1)
operate on the linear form el 8 t2on a1 8 7r2 by
if and only if
€(al 8 0 2 8 a;) = 1.
108 Degenerate Whit taker Models for GL(4)
Dipendra Prasad
F'rom Theorem 1.4 of [PI] this is exactly the condition for the appear-
ance of the representation W of GL2(k) as a quotient of rl 8 r 2 . We
4 Supercuspidal representations
therefore need to check that the representations of GL2(k) which appear as
In this section we will make an equivalent formulation of Conjecture 1.2
a quotient of Ps(r1, XZ)N,+are exactly those which arise as a quotient of
for those represent ations V of G 4(k) which are obtained by automorphic
r1 8 r 2 .
induction of a representation, say II, of GL2(K) where K is a quadratic
By Theorem 2.1, the twisted Jacquet functor of Ps(nl ,72) sits in the
extension of k. When the residue characteristic of k is odd, it is known that
following exact sequence,
all the supercuspidal representations of GL4(k) are obtained in this manner.
This equivalent form will describe the space of degenerate Whittaker models
without any explicit mention of epsilon factors.
Rom this we get the following long exact sequence,
If the Langlands parameter of a representation II of GL2(K) is the
2-dimensional representation a of the Weil-Deligne group WK of K , then
the Langlands
- parameter of the representation V of GL4(k) which is
obtained by automorphic induction from ll,is
5.1 The case when W is not a twist of Steinberg Consequence 2 of Conjecture 1.2 Suppose that 7r is an irreducible
admissible cuspidal representation of GL2(k). Then a representation W
For vector spaces Vl and V2, there is a natural isomorphism of complex
vector spaces, of GL2(k) which is not a twist of the Steinberg appears as a quotient in
the degenerate Whittaker model of the generalised Steinberg representation
St(.lr) of GL4(lc) if and only if it appears as ct quotient in .rr 8 IT.
112 Degenerate Whit taker Models for GL(4) Dipendra Prasad 113
5.2 The case when W is a twist of Steinberg the representation a comes from a quadratic extension K of k obtained by
In this subsection we analyse what Conjecture 1.2 implies for W, a twist inducing a character, say p on K*, for K a quadratic extension of k, then
of the Steinberg representation S t on GL2(k) by a character x of k*. In p # x on k* (but p2 = X2 on k* by the condition on central characters).
this case the Langlands parameter ow is given by ow = x - s2 with the It is easier to state what Conjecture 1.2 reduces to for GL2(D).
determinant condition (det o)2 = X2. Let x = w det a with w a quadratic
character of k*. We have, Consequence 4 of Conjecture 1.2 Let ?r be an irreducible representa-
tion of D* of dimension > 1 and central character w,. Then the space of
\ degenerate Whittaker models of Sp(a) is the 1-dimensional representation
of D* obtained from the character w, by composing with the reduced norm
mapping.
Consequence 5 of Conjecture 1.2 The generalised Steinberg representa- functional to local constants. We refer to the paper [Sh] of Shahidi for one
tion St(n) of GL(2, D) has a Shalika model if and only if the representation such case.
n is self-dual with non-trivial central character.
There is an intertwining operator between the principal series represen- [JS] H. Jacquet and J. Shalika, Exterior square L-functions, Automorphic
tations Ps(n1, n2) and Ps(7r2, nl ) where X i are either representations of forms, Shimura varieties, and L-functions, Perspectives in Maths. 11
GL2(k) or of D* for D a quaternion division algebra over k. The intertwin- Eds. L. Clozel and J. Milne, Academic Press (1990).
ing operator is defined in terms of an integral over the unipotent radical
of the opposite parabolic to the (2,2) parabolic, and is in particular over a [PI] D. Prasad, Wlinear forms for representations of GL(2) and local
epsilon factors, Compositio Math. 75 (1990), 1-46.
non-compact space, and depends on a certain complex parameter s. The
integral converges in a certain region of values for s, and is defined for all [P2] D. Prasad, Invariant linear forms for representations of GL(2) over
representations T I , 7r2 by analytic continuation. a local field, Amer. J. Math. 114 (1992), 1317-1363.
The action of the intertwining operator from the principal series
P ( n 1 2 ) to Ps(n2,nl) seems closely related to the triple product [P3] D. Prasad, Some remarks on representations of a division algebra
and of Galozs groups of local fields, J. of Number Theory 74 (1999),
epsilon factor. We make this suggestion more precise. We will assume
73-97.
in this section that D is either a quaternion division algebra or a 2 x 2
matrix algebra over a padic field k. Let n1 and n2 be two irreducible [P4] D. Prasad, The space of degenerate Whittaker models for General
representations of D* neither of which is l-dimensional if D* is isomorphic linear groups over a finite field, IMRN 11 (2000), 579-595.
to GL2(k).
The intertwining operator induces an action on the twisted Jacquet [P-R] D. Prasad and A. Raghuram, Representation theory of GL2(D) where
functor which as we have seen before for P s ( a l , 7r2) is essentially xl 8 n2. D is a division algebra over a non-Archimedean local field, Duke
Therefore the intertwining operator induces a D*-equivariant mapping from Math J. 104 (2000), 19-44.
nl 87r2 to 7r2 8nl. Composing this with the mapping from n1 8 x 2 to x2 8nl [S] H. Saito, On Tunnell 's formula for characters of GL(2), Compositio
given by vl 8 v2 + v2 8 vl, we now have an intertwining operator, call it Math. 85 (1993), 99-108.
I, from nl 8 Q to itself. If n3 is an irreducible representation of D*, then
by the multiplicity 1 theorem of [PI], the space of D*-invariant maps from [Sh] F. Shahidi, Fourier transforms of intertwining oprators and
nl 8 w2 to ng is at most 1-dimensional. The intertwining operator I acts Plancherel measures for GL(n), Amer. J . Math. 106 (l984), 67-111.
on this l-dimensional vector space, and therefore the action of I on this M. Tadic, Induced representations of GL(n,A) for p-adzc division
[TI
1-dimensional space is by multiplication by a complex number I ( n l , a,, n3). algebras A, J. reine angew. Math. 405 (1980), 48-77.
Conjecture 6.1 I(nl, 7r2,n3) = c6(n1 8 n2 8 n3) where c is a constant [Ta] J. Tate, Number theoretic background, Automorphic forms, represen-
independent of nl ,n2, n3. (We remark that the intertwining operator from tations and L-functions, Corvallis Proceedings, AMS (l979), 3-26.
the principal series Ps(al,n2) to the principal series P s ( m , n l ) itself
depends on the choice of Haar measure on N - , and therefore the constant [Tu] 3. Tunnell, Local epsilon factors and characters of GL(2), Amer. J.
Math. 105 (1983), 1277-1307.
c depends on the Haar measure on N - . )
MEHTARESEARCH INSTITUTE, CHHATNAG
ROAD,JHUSI,ALLAHABAD-
Remark 6.2 The conjecture above is analogous to the works of Shahidi 211019, INDIA
in which he relates the action of intertwining operators on the Whittaker E-mail: dprasad@mri.ernet .in
More generally, consider
that theorem, viz., according as n is an odd or even natural number, the F, number p,r(f; t I pS) stands for the number of representations of t by f
tb
number of ways of expressing n as a sum of 4 squares of integers is 80*(n) over Z/pSZ : then d,( f , t) , the p- adic density of representation of t by f is
or 24a*(n), where a*(m) for any natural number m is the sum of all the odd defined as Cm lim r( f ; t I ps)/ps(m-l) with C, := 2 or 1according as m = 1
%, 8-+00
natural numbers dividing m; Jacobi's famous identity linking the 4th power
$ or m > 1and it is clear that this density is non-negative, vanishing precisely
9: of the theta 'constant' B3 with other theta 'constants' 92, and their
when f fails to represent t over the ring Zp of p-adic integers. The infinite
derivatives is an analytical encapsulation of the above formulae as n varies
over all natural numbers. An analytic formulation of similar nature arises n
product d,(f, tJ extended over all primes p converges and is equal to 0
also as a special case of the Siegel Formula (extended suitably to cover exactly when f fails to represent t over at least one Z, (i.e., when at least one
the so-called 'boundary case' involving quaternary quadratic forms as well) d,,(f, t) equals 0). The real density t,( f , t) measuring the representation of
which connects theta series associated with quadratic forms to Eisenstein t by f over R is defined as lim vol (f (U))/ vol (U) taken over measurable
neighbourhoods U of t shrinking to { t ) with vol (.) denoting Lebesgue
series: for complex z with positive imaginary part,
measure; it is known (181that &(f, t) = ~ ~ / ~ t ( ~ - ~ ) / ~ / {(det r(mf)'l2}
/2)
where I? is Euler's gamma function and det f is the determinant of f .
(P -
From Minkowski's reduction theory for quadratic forms, we know that
odd
the genus gen (f) consisting of all quadratic forms g which are equivalent
the right hand side representing an Eisenstein series which converges only to f over lR and Z, for every prime p, splits into finitely many Z-equivalence
conditionally and can be realized (via Hecke's Grenzprozess) by analytic classes for which we choose a complete set { fl = f , f2, . . . ,f h ) of represen-
continuation from an absolutely convergent Eisenstein series (The inner tatives. For 1 5 a 5 h, let ei denote the number of linear transformations
J;- over Z preserving the positive definite quadratic form f i e Siegel's main
sum over p is over all integers coprime to q and of opposite parity to that
of 9). I theorem for positive definite integral quadratic forms f , in this case for
The Siegel Formula and Beyond S. Raghavan 119
G
exp (r- t r (tGSGZ)) with G running over all (m,n)
integral matrices and tr(.) denoting matrix trace. Siegel's main theorem in
the present situation leads to an analogue of ( t * )where the'Eisenstein
For m > 4, Siegel's main theorem as in (*) can be formulated as an ana- series on the right has its general summand in the form H(S; C, D) det
lytic identity between theta series (associated with the fis) and Eisenstein +
(CZ D)-"/~ with generalized Gauss sums H (S; C, D) and the summation
series: of the series is over n-rowed coprime symmetric pairs (C, D) such that no
two distinct pairs differ from one another by a matrix factor from GL(n, Z)
on the left (two (n, n) integral matrices R, S such that
(**> i R t S = S t R and
where, for complex z with imaginary part y := (z - r ) / 2 m > O), the
ii) any rational matrix G making both GR and GS integral is necessarily
theta series
integral form an n-rowed coprime symmetric pair (R, S)).
O(fj,z) := C e~~(rG~fj(al,..-,arn)),
Such pairs make up the last n rows of elements of
... , a m € Z
01,
H ( f ; b, a) := ( f l / b ) m / 2 (det s)-'I2 . x exp (n-f (a1, - - - ,am)a/b) (P Q), (R S) are n-rowed coprime symmetric pairs
al,...,am€Z/(b)/(b)
are generalized Gauss sums and the summation over a, b on the right hand
I'n := {(: ): such that PtS - QtR = En, the (n,n) identity
matrix
side of (**) is taken over all coprime pairs of integers a E Z, b E W while
the accent on C requires ab to be even, if f represents over Z some odd Known as the Siegel modular group of degree n, I?, acts on H, via the
integer. The right hand side of (**) gives an Eisenstein series converging +
modular transformations Z I+ M < Z >:= (AZ B)(CZ D)-I for +
absolutely (in view of "rn > 4"). To cover the 'boundary case m = 4' M = E I',. Under these modular transformations, the Eisenstein
(like one encountered for the case of 4 squares), we need to invoke Hecke's series on the right hand side of an analogue of (**) behaves in a way quite
limiting process, in order to obtain , via analytic continuation, the required like any of the theta series f3(Si, 2 ) . Recalling that a holomorphic function
Eisenstein series. For j # k, the theta series B(fj, z), B( f k ,z) have the same p : H, + C ("bounded at infinity" for n = 1) such that for all M = ( g E)
120 The Siege1 Formula and Beyond S. Raghavan 121
+
in a subgroup of finite index in I?,, cp(M < Z >) det (CZ D ) - ~= p(Z) is on both sides of the identity F ( S , 2 ) = Em12(Z) yields Siegel's main the-
called a Siegel modular form of degree n and weight k, the afore-mentioned orem on representation of (n, n ) matrices T by S, provided m > 2n 2. +
Eisenstein series is a modular form of weight m/2 just like each O(S,, Z) Despite this condition looking 'stringent' especially in the context of the
for a 'congruence subgroup' of r,. For n = 1, the Eisenstein series under arithmetical main theorem for quadratic forms holding good without such
consideration differs from O(S, z ) by a 'cusp form' and one is easily led to a 'stringent' condition, the above 'function-theoretic' proof (with its sheer
an asymptotic formula for r(S; t) with the Fourier coefficient corresponding novelty) does represent a spinoff for Arithmetic! On the other hand, Siege17s
to the index t in the Eisenstein series as the principal term and an error main theorem for quadratic forms with its powerful analytic formulation as
term of order tml4. This phenomenon does not replicate itself, in general, in (**) seems to have been the starting point for his path-breaking work
for n > I! [21] on modular functions of degree n and also a full-fledged theory of these
functions - a cradle for the modern theory of automorphic forms as well as
a touchstone and driving force thereafter.
Andrianov ([I],[4, Ch.IV, SS 6-71) has given a nice and interesting proof
for Siegel's main theorem for integral representation of (n, n) symmetric
matrices T by (m,m) positive definite integral matrices S of determinant A crucial step in the proof of Siegel's main theorem for representations of
1, with even diagonal entries and m > 2n+2. The proof depends on explicit quadratic forms by quadratic forms f (not necessarily definite and not just
determination of the effect of Hecke operators on O(S, Z) for such S and on over Z but over rings of algebraic integers) is to show that a certain number
properties of Eisenstein series. First, for such S,m is a multiple of 8. Let p(S) = p(f) depending on f is (a constant) equal to 2; for positive definite
{S1= S, S2,.. . ,Sh)be a complete set of representatives of Z-equivalence 1 integral S, we have
classes in the genus of S . Then, for 1 5 i 5 h,O(Si,Z) = C r ( S i ; T ) .
exp ( r i t r (TZ)) where T runs over (n, n) symmetric non-negative definite
integral matrices with even diagonal entries and t r ( . ) denotes matrix trace;
each theta series is a Siegel modular form of weight m/2, for r,. For a
given prime number p, the Hecke operator T(p) on Siegel modular forms cp where the limit is taken over a suitable sequence like that of factorials,
of weight k, for r,) is defined by w(q) is the number of prime factors of q and e,(S) is the number of linear
transformations over Z leaving f fixed modulo q. Bringing in the special
orthogonal group G = SO(f) of the (integral) quadratic form f and taking
Z , Z,, R for base rings, the definition above for p(S) may be seen to identify
it with the (Weil-) Tamagawa number r(G) attached to the special orthog-
where Nj = (22) and I?, ( 2.in) I?, = Uj rnNj. Explicitly deter-
onal group G of f ; it was actually proved by Tamagawa that T(G) = 2
(for m 2 2). For non-degenerate quadratic forms in m 2 3 variables (over
mining the effect of T(p) on O(Sj, Z), Andrianov showed that the analytic number fields), Weil [25] proved, by induction on m, the "Siegel-Tamagawa
genus invariant F(S, Z) := e j l O ( ~ jZ)/
, l / e j is actually theorem that r(G) = 2" for the corresponding special orthogonal group G,
an eigenform of T(p) for every prime p; the constant term in the Fourier introducing 'adelic zeta functions' attached to G (generalizing even Siegel's
expansion of F is clearly 1. On the other hand, any Siegel modular form of
weight m/2 for r,, with constant term 1, that is an eigen form of an infinity
! zeta functions for indefinite quadratic forms) and examining the residues
+
of T (p) has necessarily to coincide, for m/2 > n 1, with the Eisenstein 1, a t their poles etc..
Using the fascinating setting of adelic analysis, Weil presented in two
series Em12 ( 2 ) = C( D ) det (CZ + D)-"I2, the summation being over a powerful papers [26, 271 the analytic formulation of Siegel's main theorem
complete set of n-rowed coprime symmetric pairs ( c D ) such that no two for quadratic forms as a "Siegel Formula" (more generally, for "classical
distinct ones differ by a factor on the left from GL(n, Z). Since m/2 > n 1 + groups" arising from algebras with involution) in the form of an identity
the series converges absolutely and its Fourier coefficients are well-known between two "invariant tempered distributions" - the 'theta distribution'
from Siegel's fundamental paper [21]. Comparison of Fourier coefficients and the 'Eisenstein distribution', A vital ingredient in Weil's proof is a
122 The Siege1 Formula and Beyond
general Poisson Formula involving transforms FG of Schwartz-Bruhat func- and is then characterized by all its Fourier coefficientsa(T) corresponding to
tions 9 on locally compact abelian groups X and the Fourier transform Fa degenerate T becoming zero. For given f ,the function f is a modular form
of F; as well as the correct recognition of the measures 'making up' Fa. of degree n - 1 and weight k. For large enough k, Maass showed the Siegel
On specializing @ and X suitably, Siegel's analytic formulation of the main operator to be surjective, by using Poincaie series [12];employing Eisenstein
theorem for quadratic forms can be recovered. Using high-power analysis
and deep results such as Hironaka7sresolution of singularities in Algebraic
<
series G(Z, g) 'lifting', to degree n, cusp forms of degree j n, Klingen [lo]
proved again the surjectivity of 9. The Eisenstein series G(Z; g) are of the
Geometry, Igusa [9] generalized Weil's Poisson Formula in his researches form
on forms f of higher degree m in n variables (with appropriate restrictions
such as n > 2m 2 4 or that the zero variety of f is irreducible and normal).
C g ( r j (< +
~ Z >) det(CZ D)-'
M
Rich dividends arise from an application of Igusa7sPoisson Formula - e.g.
Birch's local-global theorem [2] generalizing Davenport's results on cubic where for W E H,, rj(W) is the principal (j, j ) minor of W and M = (6
g)
forms concerning the existence of rational points on hypersurfaces defined runs over a complete set of representatives of left cosets of ,'I modulo the
by f (See [7], for a nice survey).
Recently, Sato [16] obtained a generalization of the Siegel Formula in
the guise of a relation between two invariant measures on the space of 'finite
adeles' of homogeneous spaces X of semisimple algebraic groups G (defined The series converge absolutely for k > n + j + 1 and an-i(G(Z; g)) = g.
over Q) with the 'strong approximation theorem' valid for G. The two For k 2( 272, one needs to attach for convergence, Hecke convergence factors
invariant measures coincide but for a factor of proportionality that is just
the Tamagawa number; while one of them is the Tamagawa meausre, the {det( Im ( x j ( M < Z det( Irn (M < Z >))-'I
>))I
other is the one induced from the measure on the completion of X (0)with
respect to the "congruence subgroup topology". Specializing G, X suitably with a complex parameter s ensuring absolute convergence for large Re(s).
say G = SL(m),X = SL(m)/SO(m - n) for m 2 n 2 1 and m 2 2, The analytic continuation of the Eisenstein series with the convergence
one can recover Siegel's main theorem for representation of (n, n) integral factors inserted has to be studied as a function of s. For n = 1,the first such
matrices T by a given (m, m ) integral nondegenerate matrix S. In Sato7s (vector-valued Dirichlet) series in s arising from Eisenstein series as above
measure-theoretic approach, volumes of fundamental domains for discrete associated to Jacobi theta constants el, 02,O3 or to theta series attached to
subgroups of Lie groups appear as really natural agents for measuring the even quadratic forms (of given 'signature') were thoroughly investigated by
size of all solutions of relevant Diophantine equations e.g. integral matrices Siegel [22, 231 in regard to analytic continuation and functional equation
A with t A S A = T. (as functions of s). For general n, the corresponding results are taken care
The Siegel Formula for quadratic forms f as generalized by Weil has of by the general framework in Langlands' theory of Eisenstein series on
been extended by recent remarkable work of Kudla and Rallis [15] so as semisimple Lie groups [I11.
to cover situations where, for example, in the case of the 'dual reductive Even for a simple-looking Eisenstein series (with Hecke convergence
pair' (Sp(n), SO(f )), we no longer have the absolute convergence of the factors) defined by
Eisenstein series concerned or of even the theta integral involved. In such
critical environment, delicate analysis is indeed called for, as we shall see EP)(2; s) = (det i r n ( Z ) ) ' C det (CZ + D)-' (abs det (CZ + D))-~'
in the following section while having to deal with just the failure of the C,D
Eisenstein series to converge absolutely!
Given a Siegel modular form f of degree n and weight k, the Siegel convergent absolutely for k > n + 1 and complex s with Re(s) 2 0, it is not
operator 9 on f is defined by clear on the face of it that we are led to a holomorphic function of Z while
+
taking the limit as s tends to 0,in the 'boundary case' of k = n 1 E 2N.
For n = 1 and k = 2, we know from Hecke [S] that the limit as s tends to 0
exists but it is not holomorphic in Z. The first example, for degree n > 1,
where the Hecke Grenzprozess yields a non-zero holomorphic modular form
for Zl E Hn-l. Whenever 9f vanishes identically, f is called a cusp form of degree n and weight k = n+ 1 is the case when n = 3 with Ic = 4 (see [13]).
S. Raghavan 125
124 The Siege1 Formula and Beyond
References [15] S.S. Kudla and S. Rallis, On the Weil-Siege1 Formula, J. Reine angew.
Math. 387 (1988), 1-68; 11, J . reine angew. Math. 391 (1988), 65-84.
[I] A.N. Andrianov, The multiplicative arithmetic of Siegel modular forms,
Russian Math. Surveys 34 (1979), 75-148. [16] F. Sato, Siegel's main theorem of homogeneous spaces, Comment.
Math. Univ. St. Paul. 41 (1992), 141-167.
[2] B.J. Birch, Forms in many variables, Proc. Roy. Soc. Ser. A 265
[17] G . Shimura, On Eisenstein series, Duke Math. J . 50 (1983), 417-476.
(l961/62), 245-263.
126 The Siegel Formula and Beyond
mi
for yl772 E I?. Such a collection of functions { q , ( ~ ) ) , is
~~ called a cocycle. and b i ( t ) = C bijt', bij E C.
(Strictly, we must impose certain growth conditions on the functions f (2) j=1
for much of what follows to be ,valid. However, these conditions will be
automatically satisfied for the functions we will be dealing with since they Remark 3.1 From (3.1), it is clear that 4(z) in the lemma is really the
arise from Dirichlet series of finite growth on vertical strips (Condition (3) qs(z) defined in Section 1. On the other hand, (3.2) gives us an explicit
in Theorem 1.1)). expression for q s ( x ) as a "polynomial" (with complex exponents) with
00
coefficients which are themselves polynomials in log z. As we shall see
Now suppose that f (z) = C a,e2"inz is obtained from a Dirichlet series in the next section, this condition, together with the relation (ST)3= I in
n=O SL2(Z),is sufficient to guarantee that qs = 0, if k > 2. If k = 2, the space
satisfying the conditions of Theorem 1.1. Let {q,(z)) be the corresponding of cocycles is one dimensional. In fact we will show that qs(z) = f , where
cocycle. Then, we shall show that the space of cocycles spanned by the b E C, in this case.
'
q,(z) arising from such f (z) vanishes, if k > 2, and is one-dimensional, if
k = 2. Let us set
Remark 3.2 By Remark 3.1, it is clear that if k > 2 the only possible
poles D(s) can have are a t 0 and k, since the structure of qs(z) determines
all poles other than those at 0 and k. In the case k = 2, the poles must lie
ats=O7s=1ands=2.
and recall that S and T generate r. Notice that qT(z) = 0. Thus, we are Remark 3.3 We note that condition (1) of Theorem 1.1 assumes that
reduced to showing that qs(z) = 0. In order to do this ,we have to realise D ( s ) , has a finite number of poles while in the formulation of Bochner's
Lemma condition (1) of the lemma makes the same assumption for L(s).
130 A Converse Theorem for Dirichlet Series with Poles Ravi Raghunathan
The two, however, are easily seen to be equivalent. We first note that r ( s ) Recalling that QT = 0 we have
has no zeros. Hence if L(s) has finitely many poles so must =D(s).
Conversely, assume that D(s) has only finitely many poles. If L(s) has
infinitely many poles, then all but finitely many of these come from the which gives
poles of r(s). On the other hand, the functional equation for L(s) gives QTST = QS(Z + 1)-
We first observe that QT-'(2) = 0. Evaluating the left-hand side we obtain
which shows that D(k - s) has zeros at all but a finite number of the poles
of r ( k - s). Hence, D(s) has zeros a t all but a finite number of the poles
of I'(s). It follows that L ( s ) has only finitely many poles.
Since T-'S = ( -:-A +
), we get z-*Qs(- 1- $) QS(Z)for the left-hand side.
Equating the expressions for the two sides yields
Remark 3.4 Since D(s) satisfies a functional equation symmetric under
s I-+ (k - s), if it has a pole at -pi it will also have a pole k + pi. Thus if
the expression (3.2) for qs(z) contains the term zOi, it will also contain the
term z-*-Oi. n
Recall, that by Remark 3.1 of Section 3, we know that qs (z) =C bi (log z)zPi,
i=l
Actually, Bochner proved the above lemma for general X but the case where -pi E @ are the poles of D(s). Substituting this expression for qs(z)
X = 1 will suffice for our purposes. The proof of the lemma involves a in (4.1) gives
standard argument using the inverse Mellin transform and the Phragmen-
Lindelof principle and follows Hecke's argument in the proof of his Converse
Theorem. The only additional reasoning involved is in obtaining the form
of the "residual term" (in Bochner's terminology) @(z)in (3.2). One gets
this simply by expanding D(s) in a Laurent series about each pole and
calculating the residue. For more detailed accounts we refer the reader
to [B], where the formulation is slightly different but easily seen to be
equivalent, or to [K]. The lemma stated above is a special case of the We notice that once we choose a suitable branch cut for the logarithm
Riemann-Hecke-Bochner correspondence. both sides of equation (4.2) are well defined on the whole half-plane IHL
In fact, if we choose our branch cut to lie along [0, -zoo) we see that we
may extend the function qs(z) to the whole of the complex plane with
4 Proof of the main theorem this ray removed. We note that our functions are holomorphic so they
are completely determined by their behaviour on the real line, since if they
Proof (of Theorem 1.1) Let f (z) be defined as in the statement of The- vanish on any subinterval of R they must vanish identically. Hence, in what
orem 1.1and Q,(z) as in Section 2. The relation (ST)3 = I can bea-ewritten follows, we restrict our attention to real z. If lzl is is sufficiently large we
ST-IS = T S T from which follows the equality of cocycles may thus rewrite (4.2) as
Using the cocycle condition we can compute both sides of the above equality.
The right-hand side gives us
132 A Converse Theorem for Dirichlet Series with Poles Ravi Raghunathan 133
If we send lzl to m, we see that we may compare the orders of growth highest degree among the bj,, 1 5 1 5 r . Now, suppose that the expression
on both sides of equation (4.3). Since a polynomial in logz grows slower (4.5) vanishes identically. Then, we may rewrite (4.5) in the form
than any power of z, and since purely imaginary powers of z are bounded,
it will be clear that only the real parts of the pi will be relevant for the
initial part of our discussion. We may assume without loss of generality
that R e ( a ) 5 Re(&) 5 ....... 5 Re&). Expanding the terms (1 + $)Pi in
power series, we see that the left-hand side of (4.3) can be rewritten as Let deg(b,-,+l) denote the degree of the polynomial bn-,+1(t) in t . If
deg(b,-,+l) < deg(bn), for all 1, 1 5 1 5 r , then the right-hand side of (4.6)
tends to 0 as lzl + oo, while 1 . ~ ~=~ 1,~ 1which is absurd. Hence we may
assume that there is at least one 1 such that deg(bn-,+l) = deg(bn). Hence,
for all such I,
The binomial exapnsion is valid whenever lzl > 1 and hence (4.4) is valid
whenever lzl > 1. We have two cases:
+
Case (i) b, (log(z 1)) - bi (log z) # 0 for some i such that Re(&) = Re&).
Before we analyse this case we first make the following observation. where cl # 0.
Now by the linear independence of characters we know that
(lo& + 1))" - (log z)" =
[log(z + 1) - log z][(log(z + 1))"-' + - - + (log z)"-'1
for any complex numbers al. Hence, in particular, we must have
As lzl + oo, log(1 + !) -+ 0 like !. Hence the expression
<
for all I, 1 5 1 r (by assumption we know that there is at least one such
I ) . Further, we may assume that ir = n and that bn(t) is the polynomial of
134 A Converse Theorem for Dirichlet Series with Poles Ravi Raghunathan 135
Hence if 1 > 0 is the smallest integer such that 71 = Re(@,-1) < Re(@,). It is now easy to see that the term of next
highest possible growth in (4.4) is zy1 with coefficient
then the highest order term is z-~-'. The coefficient of zA in (4.4) is the
expression (4.5), which by Proposition 4.1 is not identically zero, while the where 17, = Im(Pn-l-8+m), 1 < m 5 s. Two further sub-cases arise:
coefficent of z-k in (4.8) is the expression (4.9), which is not identically 8
zero by assumption. Comparing orders of growth of the left and right- Case (1) C bn-1-s+m(log(z + 1)) - bn-1-s+m(logz) # 0
m=l
hand sides when lzl goes to co, we see that it follows that we must have Since Pn-l-s+m # 0, we may use the Proposition 4.1 (for these new bfs)
Re(@,) = -k-1. But if pn occurs in (3.2), then, by Remark 3.4 of Section 3, to show that the expression (4.11) does not identically vanish. Now, com-
SO must -k - @ . , But paring orders of growth on both sides of (4.3), we see that we must have
71 = = - k - I, where I 2 0 is the smallest integer such that the
coefficient of z-"-' is non-zero in the power series expansion of the right-
hand side of (4.3) (see formula (4.8) in case (i)). Once again, we notice
which contradicts the assumption that Re(@,) 2 Re(Pi) for all 1 5 i < n. that if @n-l occurs in (3.2), so must - k - But
+
Case (a;) b,(log(z 1)) - bi(log z) = 0 for all i such that Re(Pi) = Re(@,).
We notice immediately that this means that the polynomials bi, n - r + 1 <
i 5 n are all constant polynomials. We will continue to refer to these which contradicts the maximality of Re(@,), unless 1 = 0. If 1 = 0, then,
constants as bi. As in case (i), we make a power series expansion on both equating the coefficients of z-k on both sides of (4.3) gives
sides and examine the resulting expressions (4.4) and (4.8). The coefficient
of z7 = zRe(On)in (4.4) is identically zero by assumption. Recall that we
assumed in case (i) (without loss of generality) that Re(Pi) 5 Re(@,-,) <
Re(@,), .l 5 i 5 n - r and that Re(@,) = Re(@,) if n - r + 1 5 i 5 n. We
<
continue to assume this is the case. If j,, 1 5 m s, are the indices such
that Re(pjm) = Re(@,-,), we may as well assume that jm = n - r + m.
Let Re(&,) = 71. Two cases arise:
Using the linear independence of characters and arguments similar to those
Case (a) Re(@,-,) < Re(@, - 1). in Proposition 4.1 we see that s = 1, so we get
In expression (4.4) the term of highest possible order is zRe(On-l) = 2'-l.
Its coefficient is
for all I. If (4.10) vanishes identically, since we may as well assume that In either case, as lzl + co, the coefficient of z-"l approaches infinity,
bn-,+1 # 0, we see that this means Pn-,+1 = 0 for all 1. All the expo- while on the right-hand side the coefficients tend to a finite limit. This
nents Pn-,+1 are thus equal to each other and vanish. Thus, r = 1 and gives a contradiction.
136 A Converse Theorem for Dirichlet Series with Poles , Ravi Raghunathan 137
s
Case (2) bn-l-s+m(log(z + 1)) - b , - ~ - ~ + ~ ( l o g z=) 0 bl = 0. Now, one can easily verify that qs(z) = %, b2 E C satisfies equation
m=l (3.2) and this is clearly the unique solution to (3.2) when k = 2. On the
As in case (i), this means that zY1 is the term of highest possible order on other hand, Hecke's non-holomorphic (meromorphic) Eisenstein series of
the left-hand side of (4.3). Its coefficient is bn-1 (log(z+ l))Pn- 1. Comparing weight 2 ([He2]) satisfies equation (3.1) and gives rise to poles precisely at
orders of growth on both sides of (4.3), we get 71 - 1 = -k - 1, i.e., s = 0 , l and 2. By the uniqueness of the solution to (3.2), we see that qs (2)
71 = -k +1 - 1, which we can easily show contradicts the maximality of must arise from this Eisenstein series of weight 2.
Re(/?,) if I > 1. If I = 1, it is easy to see that we are essentially back to case The discussion above makes it clear that one cannot have a cocycle of
(1). Once again, it is clear that this contradicts the maximality of Re(&) the form (3.2) which is not identically zero when k > 2. By the comments
if k > 2. We treat the case k = 2 in the next section. made in Section 2, this completes the proof of Theorem 1.1.
We return now to the case when the expression (4.10) does not iden-
tically vanish. Once again let z-~-' be the term of the highest order in
the power series expansion of the right-hand side of (4.3) (as in formula 6 Corriparing the zeros of L-functions
(4.8) of case (i)).Thus, the term of highest order on the left-hand side of
(4.3) is z7-', while on the right-hand side it is z-*-'. Hence, we have In this section our main goal will be to discuss the following question.
y - 1 = -k - 1, i.e., y = -k - I +
1. If 1 > 0, then it is easy to see that Let Dl (s) and Dz(s) be two Dirichlet series which extend to meromorphic
we are back in the situation of case (i). If 1 = 0, then we get y = -k + 1, functions Ll(s) and L2(s) on the whole complex plane C. For i = 1,2, let
which, as before, contradicts the maximality of Re@,), unless k = 2. We the sets S, be defined as follows:
treat this case in the next section.
Case (b) Re(&,) = Re(Pn - 1)
In this case the coefficient of 27-l is Suppose further that L, (s), i = 1,2, satisfy a suitable functional equation
and certain analytic conditions. Then is IS2\ S1l = oo?
We note that answering the above question is the same as establishing
f that Ll(s)/L2(s) has infinitely many poles in the strip 0 < Re(s) < 1,
f and indeed, this is the approach we use. We are able to answer the above
question affirmatively in a number of cases. This affirmative answer also
shows that Theorem 1.1 would be false if the hypothesis of finiteness of the
Analysing this expression as in the cases above we can easily that this yields number of poles of the Dirichlet series were to be removed.
a contradiction unless k = 2. The proofs of Theorems 6.1-6.5 crucially involve either Hamburger's
0 Theorem or Theorem 1.1of this paper. In particular, Theorems 6.1-6.5 do
not follow from Hecke's original result. The other key ingredients of our
5 The weight 2 case proofs are the non-vanishing theorems of Jacquet-Shalika and Shahidi for
various classes of L-functions. We also use various analytic properties of
It is not hard to see that when k = 2 all the cases above yield the following: L-functions established by several different authors including Godement-
n = 3, bl, b2, and b3 are all constants and Dl = -2, B2 = -1 and h = 0. Jacquet, Gelbart-Jacquet, Kim-Shahidi and Shahidi. We discuss the main
Thus, equation (4.3) yields results below briefly.
Let K be a number field and AK denote the addes of K. Then we have
Theorem 6.1 For n 2 1, let .rrl and .rrz be cuspidal autornorphic repre-
sentations of GLn (AK). Let L(nl, s) and L(Q, s) be their associated L-
functions and S1and S2 be their corresponding sets of zeros. If L(.rrl,s) and
in this case. Comparing the coefficients of z-I on both sides of the above L(7r2,s) have the same gamma factors at infinity (i.e., the local archimedean
equation we see that b3 = 0, while comparing the coefficients of zM2yields L-functions are the same), then IS2\ S1)= 00.
138 A Converse Theorem for Dirichlet Series with Poles Ravi Raghunathan 139
In particular, Theorem 6.1 answers the above question for certain pairs Corollary 6.3 Let f l and f 2 be holomorphic cuspidal eigenforms satisfying
of Dirichlet characters. In this case a stronger result has been proved by [I?] either of the conditions (1) or (2) below:
but the proof does not seem to generalise. This is the only other uncondi-
tional result of which we are aware. [C-Gh-Gol, C-Gh-Go21 have a stronger 1. fl and f2 have the same weight.
result but it is conditional on the Generalised Riemann Hypothesis, while
the results of Bombieri and Perelli in the Selberg Class [B-PI depend on 2. fl and f2 are f o m s of the same level and fi has even weight k 2 12.
Selberg's Conjectures A and B. The proof of Theorem 6.1 appears in [R3]. We let Li(s) = L ( f i , s - 9 ) , f o r i = 1,2. Then)S2\S11.=m.
It uses the theorem of Hamburger [HI, H2, H3] mentioned in the introduc-
tion, the holomorphy of the L-functions Ll(s) and L2(s) due to [Go-J] and The proof of the corollary appears in [R3]. The first case of the theorem
the non-vanishing on the line Re(s) = 1 of these L-functions twisted by follows from Theorem 6.1, while the second case follows from Theorem 6.2.
appropriate characters due to [J-S]. In [R3], however, the second case is proved directly.
For i = 1, ... ,ml, let p; denote a cuspidal automorphic representation Let .rrf denote a cuspidal automorphic representation of GL2(Aq) asso-
of GL,, (AK ), ni 2 1, L(pi, s) its corresponding L-function and D(pi, s) the ciated to a holomorphic cuspidal eigenform f of weight k and nebentypus
corresponding Dirichlet series. Similarly, for j = 1, ... ,m2, let oj denote w. We will assume that .rr is not monomial and that w is odd. Let x
a cuspidal automorphic representation of GL,, (AK), n j 2 1, L(uj, S) its be a primitive Dirichlet character. We denote by L(Syrnn(.rr),s) (resp.
corresponding L-function and D(uj, s) the corresponding Dirichlet series. L(Symn(rr) 8 X, s)) the nth symmetric power L-function of rr (resp. the
We further assume that u j $ p; for all i and j as above. We set nth symmetric power L-function twisted by x). We will denote by A the
Rarnanujan cusp form of weight 12.
and Dl(s) to be the corresponding Dirichlet series for I = 1,2. Let L(s) =
We then have the following theorem.
have infinitely many poles in 0 < Re(s) < 1.
Theorem 6.2 For some even integer k 2 2, assume that Note that it has not yet been established that the numerator of the
second quotient,in Theorem 6.5 is automorphic. We do know, however, that
it is entire [Ki-Sh]. We also need the result of [Ge-Sh] and the non-vanishing
L ( ~=
) 2r-(s+V)r results of [Sh2, Sh3] for this case. The holomorphy and other relevant facts
necessary to treat the first quotient mentioned in Theorem 6.5 can be found
in [Ge-J]. We also note that both the quotients in Theorem 6.5 have the
Further, suppose that pl does not arise from a holomorphic cusp form on additional feature of an Euler product. The relevant Converse Theorem
G L 2 ( 4 ) and that L(s) satisfies the functional equation
to be applied here is, once again, Theorem 1.1. The proof of Theorem 6.5
appears in [R3]. In a similar vein, we also have
L(s) = L ( l - s).
Theorem 6.5 Let f be as above with k = 1. The quotients
Then IS2\ SII = oo.
(n = 1,2,3) have infinitely many poles in 0 < Re(s) < 1.
The proof of Theorem 6.2 depends crucially on Theorem 1.1. One also The proofs of Theorems 6.1-6.5 are essentially similar in structure,
needs the more sophisticated results of Shahidi [Sh2] establishing the holo- although each individual case may require slightly different treatment. Since
morphy and non-vanishing on the line Re(s) = 1 of the above L-functions Theorem 6.2 is the only theorem whose proof has not appeared, we give a
twisted by iil , the contragredient representation of TI. brief outline of the proof.
140 A Converse Theorem for Dirichlet Series with Poles Ravi Raghunathan 141
Proof (of Theorem 6.2) Suppose L(s) has at most finitely many poles. [C-Gh-Go21 Conrey, Ghosh, and Gonek, Simple zeros of the zeta-function
We first note that L(s) is a quotient of automorphic L-functions each of of a quadratic number field, 11 Analytic Number Theory
which is of order 1 on C. Hence, one checks easily that if L(s) has a t most and Diophantine Problems, Birkhauser Progress in Math. 70
finitely many poles then it must satisfy condition (3) of Theorem 1.1. One (1987), 87-144.
checks that L(s + 9) satisfies all the conditions of Theorem 1.1 and is
thus modular. We may thus write J .W. Cogdell and 1.1: Piatetski-Shapiro, Converse Theorems
for GL,, Publ. Math. IHES 79 (1994), 157-214.
notes [5]). The motivation in [7] for this is to understand points of reducib- Using the above theorem, the main theorem of Kirillov theory is the
lity in induced representations. But since [7] appeared (roughly thirty years following. (Refer Theorem 1, Lemma 4, Theorem 3 and Equation 144 in
ago) there has been a good deal of work on reduciblity and has been quite PI.)
well understood in our context of GL2(V) in the work of [12]. The reason
we go through this approach is to understand the asymptotic behaviour of Theorem 2.2 Let (A,V) be an irreducible admissible representation of G .
functions in the Kirillov space. The representation space V can be embedded in Cm(F*) which is the space
No proofs are given in Section 3 as they are all contained in [lo]. How- of C-valued locally constant functions on F* such that if K ( n ) denotes the
ever we have given all details in Section 4 as this has not appeared elsewhere. image then :
The author believes that the details set forth in this last section have not 1. Any f E K(A) vanishes outside some compact subset (depending on
reached their logical conclusion as yet and may have implications towards
another view at the work of Tadic on reduciblity as in [12] and perhaps also
f) of F .
towards describing the unitary dual of GLn(D). 2. The action of B on V can be realized on K(A) via the formula
Theorem 2.1 If (A,V) is an irreducible admissible representation of G where du is the Haar measure on UF normalized such that the volume of
then the twisted Jacquet module of n, denoted A~v,+,, which is the maximal UF is one. The action of the Weyl group element is then given by the
quotient of n on which N acts via the character $JF is one dimensional. following theorem. Refer Proposition 2.10 and Corollary 2.19 in [7].
Kirillov Theory for GL2(V) A. Raghuram 147
Theorem 2.3 Given an iireducible admissible representation 71 of G, for Let V be a central division algebra over F of index d, i.e., dimr;.(27) = d 2 .
every v a character on UF, there exists a formal Laurent power series i n v
Let O be the ring of integers in 27. Let be the unique left (equivalently
t , denoted C(v, t ) whose principal part is finite and such that for all f E right and equivalently two sided) maximal ideal in 0. Let a be a uni-
C,"(F*) one has formizer for V, i.e., = a0 = Ow. Let U be the group of units in 0.
Let Qj be the character on D+ given by Qj(X) = GF(TDIF(X)) where T D / ~
is the reduced trace map from V to F. Let o denote the additive valua-
tion and let I - I denote the normalized multiplicative valuation on D*, i.e.,
The C(v, t ) 's are related to the local factors by the formula 1x1 = q - d D ( X ) for all X E D*.
We change notations a bit now and henceforth G denotes GL2(V) and N
denotes the unipotent radical of the standard minimal parabolic subgroup P
consisting of upper triangular matrices in G. Let M be the Levi subgroup
where x is any character on F*.
such that P is the semi direct product of M and N. Then N -- V and
M 21 V* x D*. AS before Qj will be thought of as a character of N.
Using Kirillov theory Casselman [3] proved the following result. Deligne As in the case of GL2(F) one can easily prove that a finite dimensional
[4] provided a much simpler proof again using Kirillov theory of the same irreducible admissible representation of G is necessarily one dimensional.
result. Let ro(n) denote the congruence subgroup given by : We henceforth assume that (w, V) is an infinite dimensional irreducible
admissible representation of G. The center of G will again be denoted by Z
and is identified with F*. The central (quasi-)character of .rr will be denoted
by w x .
The starting point for us is the following theorem.
Given (w, V) as before, let Vn for n > 0 be given by
Theorem 3.1 Let (71, V) be an infinite dimensional irreducible admissible
representation of G. The twisted Jacquet module of 71, denoted TN,Q, is
always finite dimensional.
Theorem 2.4 If (n, V) is an irreducible admissible infinite dimensional
>
representation of G then there exists an integer m 0 such that Vm # ( 0 ) . Remark 3.2 This actually follows from a theorem of Moeglin and Wald-
Let c = c(n) denote the least among all such integers m. Then spurger [9]. But we are able to give a proof totally independent of [9] in
1. For all m > c, dimc(Vm) = m - c + I. the context of G. (See [ l l ] for more details.) It is easily checked that TN,Q
is a module for V* sitting as the diagonal subgroup in M and its structure
2. The €-factor of T is given by as a representation of D* is still not clear. This question is of great interest
as it will be soon be evident that this representation of V* controls to a
large extent the representation 71 of G. However for principal series repre-
sentations it is fairly easy to give a description and is the content of the
where the notation f g means that upto a constant multiplier the
N
following proposit ion.
two functions f and g are equal. (The implied constant involves some
volume terms.) Proposition 3.3 Let 711 and w2 be two irreducible representations of V*.
Let V(nl, Q) = 1ndF(sl 4 w2) denote the representation of G which is the
parabolic induction from P to G of the representation 711 @ r s . Then
3 Kirillov theory and new forms for GL2(D)
1. The twisted Jacquet module of V (wl ,r 2 ) is given by nl 8 712
We shall now present the main results in [lo] which generalize most of the
results in Section 2 to the case of GL2(V). No proofs are given in this 2. The semi-simplification of the usual Jacquet module of V ( r l , 712) is
section as they are all contained in [lo]. given by (711 @ 712) @ (TI @ 712).
148 Kirillov Theory for GL2(2))
A. Raghuram 149
Remark 3.4 The above proposition says that unlike the case of GL2(F),
for an irreducible representation n of G one need not have the dimen- Given an irreducible representation (n, V) of G let Vn denote invariants
sions of TN or of n ~ , gto be bounded above independent of n. This in V under the congruence subgroup r;(n). For convenience define V-l
follows for instance from a formula due to Deligne and Tunnel1 which says to be (0). For an integer m 2 0 we may call a non-zero vector v E V,
that there exists constants cl and c2 such that the dimension of a for an and v f Vmbl a new form of level m. We have not been able to prove an
irreducible (non-degenerate) representation a of V* is sandwiched between analogue of Theorem 2.4 for any irreducible n. But we have been able to
clqa(u)(d-1)/2and c2qa(u)(d-1)/2where a(o) is the conductor of o. It follows do so when n is one of the two possibilities given below.
from the computation of a(a) that for any positive integer n there is an 1. An irreducible principal series representation V (nl ,n2). (By a the-
irreducible representation whose conductor is n. (See [2] for an exact for- orem of Tadic 1121 the representation V(nl, n2) = I.ndg(nl @ n2) is
mula and more details on such matters.) Hence the claim on unboundedness If
irreducible if and only if n1 is not equivalent to 7r2 @ I - .)
of dimensions of Jacquet modules.
2. A supercuspidal representation which is obtained by compact induc-
Our version of Kirillov theory is the following theorem. tion from a (very cuspidal) representation of a maximal open compact
mod center subgroup of G. This notion of very cuspidality is a direct
Theorem 3,5 Let (n, V) be an infinite dimensional irreducible admissible generalization of the corresponding notion gor GL2(F). See [lo] and
representation of G . Then V can be embedded in the space of ~ ~ , ~ - v a l u e d , [ll]for two possible ways of defining this.
locally constant functions on V*, which will be denoted by Cm (V*,nN,*).
Let K(n) denote the image of V. We have : Remark 3.7 Only for this remark let G be the F-points of a reductive
algebraic group defined over F . In the representation theory of p-adic
1. Any f in K ( s ) vanishes outside some compact subset (depending on
groups it is one of the 'big' open questions if every irreducible supercuspi-
fl of 2)- dal representation is obtained by compactly inducing a representation of a
2 . The action of P on K(n) is given by the formula : maximal open compact mod center subgroup of G. For G = GL,(F) this is
true and is a famous theorem of Bushnell and Kutzko [I]. For G = GLn(V)
the question is still open.
(The epsilon factor associated to a is as in [6] wath the normalization not. The aim of this section to develop a Kirillov model for such a principal
of +F as in Section 2.) series representation and in doing so we get hold of the asymptotics of
functions in the Kirillov space. See Theorem 4.12.
Remark 3.9 The formula in (4) in the above theorem is a GL2( V ) ana- Note that any f E V ( a l , a 2 )is determined completely by its values
logue of the following formula due to Koch and Zink [B] for D*. Let ( o ,W ) on PwP = PwN. This is so because f is locally constant and every
be an irreducible representation of D* of level t! = t!(o),i.e., o containes neighbourhood of 1 E G intersects PwP. Now by the defining equivariance
the trivial representation of 1 + +
but not that of 1 7)l-l. (This t! is like on the left with respect to P such an f is determined by the function
the C ( a ) . ) Then C e ( o )- e(o) = d - 1 where C e ( o )is the exponent which X t)f (W ( )). AS an artifice to have some convenient signs we replace
occurs in the epsilon factor € ( a ,s, + F ) of a. w by w-I = -w. We therefore get that the function f is completely
determined by the function f' E C m ( V 7a1 @ 7 ~ 2 given
) by:
Remark 3.10 There is a natural question which might be asked here as
to what do the new forms look like in the Kirillov space. This has been
satisfactorily answered when C ( r ) = 0 (the so called spherical representa-
tions) or if a is a supercuspidal representation which comes via compact Using the matrix identity
induction. See [lo].
Definition 4.3 +
Lemma 4.6 Let = ~o v E Fo(sl, s2). Then &x) = C X ~ I (X)v.
h
- ~
depending on the behaviour at 0 and a t m. The convergence and the actual h ( X ) = (1 €3J T~(x-')) - A(X) - (sl (X) @ 1 ) ~ .
value of the Fourier transform on functions in two of these spaces, namely
Proof Note that
in C r and Fo are easy to describe and this is the content of Lemmas 4.5
and 4.6 respectively. Convergence of the Fourier transform of functions in
Fm is much more difficult to prove. We return to this point after disposing
off the above mentioned easy cases.
In the above integral, notice that IY 1-l dY = d Y and by putting X Y = T
Lemma 4.5 Let 4 E CF(V*,sl @ s2). Then the series in Definition 4.2 we get
is actually a finite sum and hence is convergent absloutely. The function 4
is a locally constant function on V* which vanishes outside compact subsets
of 2) and is a constant in a neighbourhood of the origin.
T h e n if m < -l + 1- d then I , = 0.
Proof For the sake of brevity let U denote the group of units OX and let
3. If s # 0, -1 then Ui denote 1 + pafor all i > 1.
Note that
where a and b are some a r b i t m y constants and two occurences of the (nl (a-l) €3 ~2 (a))
same symbol for constants should not be interpreted as being the same con- a€U/U(C)
stant. (Note that the s ~s2, and s are well defined modulo ( 2 ~ i / l n ( ~ ~.)) ) Z
The inner integral vanishes. This can be seen by going to !J3' via a substitu-
Proof Note that tion like b = 1+ P and noting that P I+ @ (wmap) is a non-trivial character
A(X) ' -
= m < ~ (lx( )T ) = m *(T)(sl (T-')8 a 2 ( T ) )dXT
(since m < -l + 1 - d) on a compact group g '.
& E .Fm(n1,7r2) the series defining 6, converges and gives a locally con-
stant function on D* which vanishes outside compact subset a compact sub-
Now it is easy to see that set of D.
Remark 4.11 We would like to point out that Lemma 4.9 is a partial
analogue of Equation 22 in [5]. Of course, one expects the integral Im to
vanish for all m # -t +
1 - d. One can prove this when at least one of
from which the lemma easily follows. nl and 7r2 is ramified (the case we are interested in) and when they have
distinct levels. The case when the levels are the same seems technically
complicated, at least to the author!
156 Kirillov Theory for GL2(D) A. Raghuram 157
We now state and prove the main theorem in this section which gives a [2] H. Carayol, Representations cuspidales du groupe lineaire, Ann. Sci.
Kirillov model for representations V(al, n2) and also gives asymptotics for Ecole Norm. Sup. 17 (1984), 191-225.
the functions in the corresponding Kirillov space K(al, a 2 ) Note that the
asymptotics given below is a direct generalization of the table on page 1.36 [3] W. Casselman, On some results of Atkin and Lehner, Math. Annalen
of [5]. 201 (l973), 301-314.
Theorem 4.12 Let a1 and a 2 be two irreducible representations of V*. [4] P. Deligne, Fomes modulaires et representations de GL(2), Modular
For each f E V(n1, Q) let Er E Cm(D*
,TI @ a2) be given by functions of one variable 11, SLN 349 Springer-Verglag, 1973.
[5] R. Godement, Notes on Jacquet-Langlands theory, Mimeographed
notes, Ins. for Adv. Study, Princeton, 1970.
[6] R. Godement and H. Jacquet, Zeta functions of simple algebras, SLN
1. or all (t:) E P andfor all^ E D *we have 260 Springer-Verlag, (1972).
x1'21 2 ) ) 1 *(xY)
n ~ zo ( Y ) = n
((o A B
D) f) (w-' (ccl Y
d ~ .
104 (2000).
and this expression simplifies to the right hand side of the equation in (1). A.RAGHURAM, SCHOOLOF MATHEMATICS, T.I.F.R., DR. HOMI
The proof of (2) follows from Lemmas 4.4, 4.5, 4.6, 4.7, 4.8 and Corol- BHABHAROAD, COLABA,MUMBAI-400005,INDIA.
lary 4.10. E-mail: raghuram@math.tifr.res.in
Current Address: DEPARTMENT OF MATHEMATICS,UNIVERSITY
OF
0
TORONTO,100 ST. GEORGESTREET, TORONTO,ON, CANADA M5S
References 3G3.
E-mail: raghuram@math.toronto.edu
[I] C. Bushnell and P.C. Kutzko, The admissible dual of GL(N) via com-
pact open subgroups, Princeton University Press, (1993).
C.S. Rajan
The set {ow 1 wlv) form the Frobenius conjugacy class in G, which we class p(ov) := ( ~ v ) - ' / ~ p ( o , )considered as a conjugacy class in G1(C)
denote by ov. Let C be a conjugacy class in G. We recall the classical intersects J. The latter assumption is equivalent to the conjecture that
Chebotarev density theorem [LO], the eigenvalues of p(ov) satisfy the Weil estimates. If M is a subgroup of
GL(V)(C), and C c M is a subset of M stable under conjugation by M ,
then denote by
I
Sc = {v @ S p(aw) nc # 4)
where f o r a positive real number x, s(x) = #{v E CK I N u < x), denotes and for a positive real number x > 1, denote by
the number of primes of K whose norm is less than x. T,(x) = # { v E CK - S ( NU < 2, p ( ~n)C # 4).
160 An Algebraic Chebotarev Density Theorem C.S. Rajan 161
proof of the above theorem, lies in the Tate conjectures on the analytical
5 Applications to modular forms
properties of L-functions attached to 1-adic cohomologies of algebraic vari- Let N, k be positive integers, and r : (Z/NZ)* + C , be a character mod
eties defined over K. However the theorem follows from Theorem 3.4 and N , satisfying r(-1) = (-l)k. Denote by S(N, k, r) the space of cusp forms
the following well-known lemma on representations of finite groups, and the on r o ( N ) of weight k, and Nebentypus character e. Given f E S(N, k, r),
corresponding generalisation to compact groups. we can write f (2) = Cz=o " ' , > 0, where an(f) is the nth
~ , ( f ) e ~ ~ ~Im(z)
Fourier coefficient of f . Denote by S(N, k, e)O the set of cuspidal eigenforms
Lemma 4.2 Let G be a finite group and let pl, p2 be inequivalent repre- for the Hecke operators T,, (p, N) = 1, with eigenvalue a,( f). We will
sentations of G into GL(n, C). Then
by f l -
define two such forms fi E S(Ni, ki, e,) , i = 1,2, to be equivalent, denoted
f2, if ap(fl) = ap(f2) for almost all primes p. Given any cuspidal
eigenform f as above, it follows from the decomposition of S ( N , k, s) into
Theorem 4.1 is still not completely satisfactory, as it does not pro- old and new subspaces and by the mulitplicity one theorem, that there
vide any information on the relationship between p, and p, possessing the exists a unique new form equivalent to f . By a twist of f by a Dirichlet
strong multiplicity one property. One of the motivating questions for us character X, we mean the form represented by C;=o X(n)an (f )e2linZ.
was the following: suppose pl and p2 are 'general7representations of GK We recall the notion of CM forms ([Rib]). f is said to be a CM form, if
into GL2(F), possessing the strong multiplicity one property. Does there f is a cusp form of weight k 2 2, and the Fourier coefficients ap(f) vanish
exist a Dirichlet character x such that pa 2. p, @ X ? It is this stronger for all primes p inert in some quadratic extension of Q .
question that provides us with a clue to the solution of this problem (see
the foregoing remark after Theorem 3.1). The following result can be con- Theorem 5.1 ([Ral]) Suppose fi E S(Ni,ki,ri)O, i = 1,2, and fl is a
sidered as a qualitative version of strong multiplicity one and provides a non CM cusp form of weight kl 2 2. Suppose that the set
vast strengthening of Theorem 3.1 in general.
Theorem 4.3 ([Ral]) Suppose that the Zariski closure HI of the image
has positive upper density. Then there exists a Dirichlet character x of Q ,
pl(GK) in GL, is a connected, algebraic group. If the upper density of such that f2 N fl 63 X. In particular, f2 is also a non CM CUSP form of
weight k2 = Icl . Hence apart from finitely many primes, the set of primes at
which the Hecke eigenvalues of fl and f 2 agree, is the set of primes which
split in a cyclic extension of Q .
164 An Algebraic Chebotarev Density Theorem C.S. Rajan 165
We now give an extension of a theorem of D. Ramakrishnan on recov- Proposition 6.1 Suppose that p is semisimple. There exists a set of places
ering modular forms from knowing the squares of the Hecke eigenvalues of density 1 of K at which the corresponding Frobenius conjugacy class
[DR3]. We will just give the application to modular forms and not give the consists of semisimple elements.
general 1-adic statement generalising Theorem 4.3.
In general, it is not even clear that there is even a single prime v at
Theorem 5.2 Let f l , f2 be cuspidal ezgenforms i n S ( N , k, s)O, k > 2. Fix which H, is a maximal torus for w(v, nor that the density of the set of
a positive integer m. such primes is defined. Our theorem is the following result; conjectured by
J.-P. Serre in the context of motives [Ser2, Conjecture 12.91.
a) Suppose that a , ( f ~ )=~~ , ( f 2 )o~n a set of primes of density at least
+
1 - 1/2(m I ) ~ .Then there exists a Dirichlet character x of order Theorem 6.2 a) The set of primes v @ S of K , at which the corre-
m, such that f 2 fl 8 X. sponding fiobenius subgroup Hw is a maximal torus inside G, has
density 1/(G : GOI.
b) Suppose f l is a non CM cusp form. If a,( fl)m = ap(f2)rn o n a set
-
of primes of positive density, then there exists a Dirichlet character
x of order m, such that f 2 f l 8 X .
b) The density of connected Frobenius subgroups H,, is also 1/IG : Go!.
In particular the theorem implies that G is connected if the set of primes
v at which the corresponding Frobenius subgroup H, is a maximal torus is
6 On a conjecture of Serre of density 1. We now apply the above theorem to the 1-adic representations
arising from abelian varieties. First let us define the following notion for
In this section we discuss a conjecture of Serre [SerZ, Conjecture 12.91 abelian varieties defined over Fp.
regarding the distribution of maximal Frobenius tori, in the context of
cohomology of smooth projective varieties. Let X be a nonsingular com- Definition 6.3 Let A be an abelian variety defined over F,. A is said to
plete variety over a global field K . Fix a non-negative integer a, and a be endomorphism ordinary if the following holds:
rational prime 1. There is a natural, continuous representation p of GK on
the 1-adic &ale cohomology groups V := Hi(X X K K, Qr). p is unramified EndFp(A)o := EndF, (A) 8 Q = EndFp(A x 8,) 8 Q.
outside a finite set of finite places S of K . We assume that S contains the
primes v of K lying over the rational prime 1. For a prime v @ S, and w a We recall the notion of ordinarity for abelian varieties. An abelian vari-
valuation of K extending v, we have a well defined Fkobenius element ow ety A of dimension g, defined over a perfect field k of positive characteristic
in the image group p(GK). p is said to be ordinary, if the group of ptorsion points A[p] over an alge-
The concept of 'Frobenius' subgroups was introduced by Serre, in braic closure k of k is isomorphic to (Z/pZ)g. In other words the prank
relation to his work on the image of the Galois group for the 1-adic rep- of A is the maximum possible and is equal to g. It is known that if A is a
resentations associated to abelian varieties defined over global fields. For simple abelian variety over F, defined over Fp and if A is ordinary, then it
an unramified prime v !$ S and w(v, denote by H, the smallest algebraic is endomorphism ordinary [Wa]. Our theorem is the following:
subgroup of G containing the semisimple part of the element a,. Denote
by T, the connected component of H,. H, and T, are diagonalisable Theorem 6.4 Let A be an abelian variety defined over a number field K .
groups, being generated by semisimple elements. Since the elements ow are Let CA denote the number of connected components of the algebraic enve-
conjugate inside p(GK), as w runs over the places of K extending v, the lope of the image of the Galois group acting o n H ~ ( AQl),
, for some prime
groups Hw and T, are conjugate in G. Thus the connectedness of H,, or 1. Then there is a set T of primes of K of degree 1 over Q and of den-
the property of being a maximal torus inside G depends only on v, and not sity at least 1/cA, such that for all p € T , the reduction mod p of A is
on the choice of w lv. endomorphism ordinary.
It is expected that the elements a, are semisimple [Ser2, Question 12.41. It is a conjecture of Serre and Oort, that given an abelian variety A
Granting this conjecture, H, is then the smallest algebraic subgroup of G over a number field K , there is a set of primes of density one in some
containing a,. In case p is assumed to be semisimple, we have the following: finite extension L of K , such that the base change of A to L has ordinary
166 An Algebraic Chebotarev Density Theorem C.S. Rajan 167
reduction at these primes. We would like to refine the conjecture to assert Conjecture 7.2 (D. Ramakrishnan) Let nl , 7r2 are unitary cuspidal au-
that in fact the set of primes of K at which A has ordinary reduction is of tomorphic representations of GLn(AK). Let T be a set of places of K of
density l/cA. The above theorem seems to be a step towards a proof of this Dirichlet density strictly less than 1/2n2. Suppose that for v $! T , nl,, z
conjecture. Notice one consequence of the theorem: by a theorem of Tate IT^,,. Then n1 2 n2.
characterising the endomorphism algebras of supersingular varieties [Tall,
it follows that the set of primes at which A has supersingular reduction is In ([DRl]), D. Ramakrishnan showed that the conjecture is true when
of density at most 1- l/cA. In particular if the Zariski closure of the image n = 2. In analogy with GL1 and motivated by the analogous Theorem 4.3
of the Galois group is connected, then the set of primes of supersingular for 1-adic representations, we conjecture the following, which clarifies the
reduction is of density 0. structural aspects of strong multiplicity one, and is stronger than Conjec-
If the conjectures of Tate are assumed for motives defined over finite ture 7.2. We refer to [La, page 2101 for the following notions. Let H be
fields, then results similar to the classification of the endomorphism algebras a reductive group over K . Let C denote the conjectural Langlands group
of abelian varieties over finite fields has been obtained for motives defined possessing the property that to an 'admissible' homomorphism 4 of C into
over finite fields [Mi]. It seems plausible that the above methods can be Langlands dual L~ of H , there is 'associated' a finite equivalence class of
applied to establish a conditional result for general motives also. automorphic representations of H (AK) and conversely. This association is
such that at all but finitely many places v of K , the local parameter $,,
which can be considered as a representation of the local Deligne-Weil group
7 Analytical aspects W(K,) into H, should correspond via the conjectural local Langlands cor-
respondence to the local component n, of n, where .rr is an element of this
We will discuss now some of the analytical analogues of the results stated class.
above. These results, especially the qualitative form of the strong multi- Suppose .rr is an isobaric automorphic representation of GLn(AK)such
plicity one for GL(l), were the main motivations for the algebraic theory that the local components n, are tempered. The image H(n) := &(C)
discussed above. We now state a theorem, which can be considered as a will be a reductive subgroup of GLn(C). Consider now two irreducible
qualitative form of the strong multiplicity one theorem for GL(l), and is automorphic representations nl and 7r2 of GL,(AK), such that the local
essentially due to Hecke. components are tempered. In analogy with Theorem 4.3, we can make the
following conjecture:
Theorem 7.1 Let el and O2 be two idele class quasi-characters o n a num-
ber field K . Suppose that the set of primes v of K for which 01,, = 02,, is Conjecture 7.3 a) Suppose that the connected components of H(nl)
of positive upper density. Then O1 = x02 for some Dirichlet character x on and H (n2) are not conjugate inside GLn(C). Then S M (nl ,n2) is of
K . In particular the set of primes at which the local components of O1 and density zero.
O2 coincide has a density.
Let K be a global field, and AK denote the ring of adeles of K . Suppose b) Suppose that H(nl) is connected and acts irreducibly on the natural
representation Cn. Suppose that S M (nl ,n2) has positive upper den-
nl and 7r2 are autornorphic representations of GLn(AK). Define
sity. Then there exists an idele class character x of finite order such
that for a11 but finitely many places v of K , 71-2,, N (nl 8 x ) ~ .
where MK denotes the set of places of K , and nl,, (resp. nz,,) denotes the In particular for GL2, the above conjecture says the following: suppose
local components of ,nl (resp. n2) at the place v of K . If the complement of nl is a cuspidal non-dihedral automorphic representation and n2 is not
-
I
SM(nl, n2) is finite and nl, n2 are unitary cuspidal automorphic represen- I,
a cuspidal non-dihedral automorphic representation of GL2(AK). Then
tations, then it is known by the strong multiplicity one theorem of Jacquet, S M ( n l ,n2) is of density zero. Morever suppose nl , n2 are irreducible, cus-
Piatetski-Shapiro and Shalika [JS], [JPSh], that nl n2. In [DR2, page pidal, non-dihedral representations of GL2(AK)such that the local com-
4421 D. Ramakrishnan considered the case when the complement in MK of ponents of n1 and 7r2 coincide for a positive density of places of K. Then
S M ( r l , n2) is no longer finite, and made the following conjecture: there exists a Dirichlet character x of K, such that 7r2 N nl 8 X.
168 An Algebraic Chebotarev Density Theorem C.S. Rajan 169
The methods of [Ra2], prove that the above conjectures imply Ramakr- [Mi] J . S. Milne, Motives over finite fields, Proc. Symp. Pure Math., 5 5
ishnan's conjecture. We give now a result, the proof of which mimics the (1994), Part 1, Amer. Math. Soc., 1994, 401-460.
proof for the corresponding statement for finite groups Lemma 4.2, but us-
ing deep facts from analytic number theory. This result was independently [Ral] C. S. Rajan, On strong multiplicity one for 1-adic representations,
observed by D. Ramakrishnan. Let us say that an automorphic representa- Internat. Math. Res. Not. 3 (1998), 161-172.
tion .;rr of GL, (AK) satisfies the weak Ramanujan conjecture [DR4], if for [Ra2] C. S. Rajan, Refinement of strong multiplicity one for automorphic
v 4 S, we have representations of GL(n), to appear in Proc. Amer. Math. Soc.
Weak Ramanujan conjecture: lav(.;rr)l 5 n . VvgS. [DRl] D. Ramakrishnan, Pure motives and autmorphic forms, Proc.
Here we have assumed that for v $ S, the local component xu is an un- Symp. Pure Math. 5 5 2 (1994), Amer. Math. Soc., 411-446.
ramified shperical representation of GLn(Kv), and by av(x) we mean the [DR2] D. Ramakrishnan, Appendix: A refinement of the strong multiplic-
trace of the corresponding paremeter matrix belonging to GL(n, C ) . It ity one theorem for GL(2), Invent. Math. 116, (1994), 645-649.
had been shown in [DR4], that for a cuspidal automorphic representation
on GLn(AK), there is a set of places of density at least 1- l / n 2 where the [DR3] D. Ramakrishnan, Recovering modular forms from squares, to ap-
weak Ramanujan conjecture is satisfied. pear in Invent. Math.
is about Hecke eigenforms, for higher levels one should consider only the
subspaces having a basis of Hecke eigenforms (this subspace will be called
the space of newforms). The proof given by Andrianov - Maafi- Zagier is a
combination of three correspondences: the first one is the natural projection
Theory of Newforms for the -
map from the Siegel modular forms to Jacobi forms; the second one is the
MaaB Spezialschar Eichler-Zagier map between Jacobi forms and modular forms of half-integral
weight; the third and final one is the Shimura correspondence (modified
by W. Kohnen) between modular forms of half-integral weight and elliptic
B. Ramakrishnan modular forms. Our proof also goes along these lines, generalizing the three
parts to higher levels.
In a survey article [12], the author explained briefly about the gen-
Abstract
eralization of the Saito-Kurokawa conjecture aiming at giving an exposi-
tion on the Eichler-Zagier correspondence (the second part in the proof).
The Saito-Kurokawa conjecture asserted the existense of an isomor- This Eichler-Zagier correspondence has been generalized by the author [lo]
phism between a subspace (called the M a d spezialschar) of the in a joint work with M. Manickam to Jacobi forms of general index and
space of Siegel modular forms of degree 2 and the space of elliptic level. In this article, we concentrate mainly on Siegel modular forms and
modular forms. This conjecture was proved first by A. N. Andrianov, present the main ingrediants in obtaining the theory of newforms for the
H. M a d and D. Zagier and the proof involves three correspondences Maal.3 spezialschar.
involving Jacobi forms and modular forms of half-integral weight. A
generalization along these lines was carried out by the author in col-
laboration with Manickam and Vasudevan, in which we proved the
conjecture for odd square-free levels (restricted to the space of new- 2 Notations
forms). For this purpose, the theory of newforms along the lines of
Atkin-Lehner was developed in the M a d spezialschar. This article Let k, N E N. The notations for the various spaces involved in the corre-
is aimed at giving a report of this work. spondence are given below:
S k( N )
- The space of all holomorphic cusp forms of weight
k and level N.
1 Introduction Skflj2(4N) - The space of all holomorphic cusp forms of weight
+
k 1/2 for the group ro(4N).
The epoch making works of H. MaaB [9],A. N. Andrianov [2] and D. Zagier S:+,~,(~N) - Kohnen's + space consisting of forms in
[14] established a 1-1 correspondence between certain subspace (called the
Skop (4N), whose n-.th Fourier coefficients
MaaB spezialschar) of Siegel modular forms of degree 2, weight k and the
vanish whenever (- l ) k = 2,3(mod 4) ( 2 /N) .
space of elliptic modular forms of weight 2k - 2 for the group SL2(Z).
This correspondence was conjectured (independently) by H. Saito* and N. Sk( r t ( N ) ) - The space of all holomorphic Siege1 cusp forms of
weight k for the Siegel modular subgroup l?;(N).
Kurokawa [8]. It is natural to ask for a generalization of this correspondence - The space of all holomorphic Jacobi cusp forms of
for higher levels and from the remarks made in the book of M. Eichler and D. Ji?(N)
weight k,
Zagier [4, p.61, it seems that M. Eichler proved a generalized correspondence
index m for the Jacobi group I?O(N)~.
in which the level of the elliptic modular forms was left open and this
For precise definitions we refer to [I, 4, 5, 61. One has the Petersson
work was not published. In this direction, the author [ll],in a joint work
with Manickam and Vasudevan established the correspondence in which inner product defined in these spaces and further the Hecke theory (though
not complete) has been studied in all the spaces mentioned above. For
the level is an odd square-free natural number. Since the correpondence
a cusp form f of integral or half-integral weight, a(f;n) denotes the n-th
'The author came to know from Professor Saito that his conjecture was made in a Fourier coefficient of f and in the case of Jacobi forms, c(n, r) denotes the
private communication to Professor Andrianov.
(n, r)-th Fourier coefficient. For a complex number z , we write e (2)instead
Theory of Newforms B. Ramakrishnan 173
to Jacobi cusp forms. F'rom the above observation, we get a map from plM. Similarly, the Hecke algebra IIY is generated by the Hecke operators
Sk(ri(N)) to JLyP(N), given by the projection map F I-+ Q1. In order to T j (p), p jlM and UJ(p), pJM . The Hecke operators for the primes p AM
get the reverse ;nap, Eichler and Zagier defined an operator, denoted by are already known in the literature (see [I], [4]). When plM, the Hecke
Vm (m is a positive integer), which when applied on Jacobi cusp forms of operators Us(p) and UJ(p) will be defined in the sequel (these are intro-
index l produce Jacobi cusp forms of index em, preserving the weight and duced in [ll]).
the level. It is defined as follows: Let F E Sk(I'i (M)) and let p be a prime dividing M. Then the Hecke
operator Us(p) is defined as follows:
and F2= 4 2 Iv.Now, using the Fourier expansions of Fl and F2,it can be 3.2 Saito-Kurokawa descent
easily seen that
In this section, we discuss briefly the first step towards the generalization of
the Saito-Kurokawa descent for higher levels by using the newform theory
explained in the previous section.
Let F E S;'new(I'i(M)) be a newform in the MaaD space and let
Therefore, we have the following theorem.
>
F I ~ s ( e )= XtF for all e 1. Then the Andianov zeta function (referred to
as the Spinor zeta function) ZF( s ) defined by
where
We put
Let 4 be the newform in J ; ~ l n e w ( M corresponding
) to F via the iso-
s;'"'~
( r i (MI) = s; ( r i (r)) 1 us(d). morphism V . Also let pp be the eigenvalues for 4 with respect to the
I Jacobi Hecke operators. Then, from (3.15), one gets expressions for Xp and
A; (= X: - Xp2) in terms of p,. Using these relations, it is possible to
,1
factor Q,(P-~) and hence we have the following Euler product expansion
Define S;'neW(I?: (M)) to be the orthogonal complement of ~ ; ~ " ' ~ (M))
(ri for ZF(s):
in S;(ri(M)) with respect to the Petersson scalar product. Then the
isomorphism V gives the following theorem.
operators. If F and f are corresponding Hecke eigenforms in the respective [lo] M. Manickam and B. Ramakrishnan, On Shimura, Shintani and
spaces, then the correspondence is given by Eichler-Zagier correspondences, To appear in Trans. Amer. Math. Soc.
[Ill M. Manickam, B. Ramakrishnan and T . C. Vasudevan, On the Saito-
Kurokawa descent for congruence subgroups, Manuscripts Math. 81
where Zg(s) = (fl,,, (1- #-1-s)-' (1- #-2-$)-') ZF (s) . (1993), 161-182.
[12] B. Ramakrishnan, On the Eichler-Zagier map, to appear in the confer-
Remark 3.6 The above theorem is the first step towards getting a gen- ence proceedings of the "International Symposium on Number Thoery
eralized correspondence between Sigel modular forms and elliptic modular and Related Topics, 1998" held at Yonsei University, Seoul, South Ko-
forms for higher levels. From the author's recent work with M. Manickam, rea.
it is possible to extend this method to some more cases. The work in this
direction is in progress. (131 G. Shimura, On modular forms of half-integral weight, Ann. of Math.
97 (1973), 440-481.
[14] D. Zagier, Sur la conjecture de Saito-Kumkawa (d'apr; H. MaapJ,
References SCminaire Delange-Pisot-Poitou 1979-80, Progr. in Math. 1 2 (1980),
Birkhaiiser, 37.1-394.
[I] A. N. Andrianov, Quadratic forms and Hecke operators, Grundl. Math.
Wiss. 286 Springer-Verlag, 1987. MEHTARESEARCHINSTITUTEOF MATHEMATICS AND MATHEMATI-
CAL PHYSICS, CHHATNAG ROAD,JHUSI,ALLAHABAD
211 019, INDIA.
[2] A. N. Andrianov, Modular descent and the Saito-Kurokawa conjecture,
Invent. Math. 5 3 (1979), 267-280. E-mail: ramkimri.ernet.in
[4] M. Eichler and D. Zagier, The theory of Jacobi forms, Progr. in Math.
55, Bikhaiiser, 1985.
where S(t) is of fixed sign for t sufficiently large. In the case under discus-
< <
sion, ((s) has no real zeros in 112 s 1, and so the first real singularity
is a t s = 1/2 coming from the pole of C(2s) on the numerator. Thus,
((2s)/((s) is regular for Re(s) > 1/2 which implies that there are no zeros
Some Remarks on the Riemann Hypothesis* of C(s) in Re(s) > 1/2 since ((2s) is regular and non-vanishing in that
region.
M. Ram Murty Even if we have S(x) 5 0 for x sufficiently large, a similar argument
allows us to deduce the Riemann hypothesis. Unfortunately, Haselgrove
[Ha] has shown that S(x) changes sign infinitely often and so the P6lya
conjecture is false. The smallest counterexample is x = 906,150,257 for
which S(x) = 1.
1 P6lya and Turdn conjectures It is to be noted that the estimate
The Liouville function X(n) is defined as (-I)"(") where R(n) is the total
number of prime factors of n counted with multiplicity. It is a completely
multiplicative function and it is easy to see that for any 6 > 0 (where the implied constant may depend on 6 would also
allow us to deduce the Riemann hypothesis. Indeed, (1.4) implies that the
integral expression in (1.3) is regular for Re(s) > 112. Thus, ((2s)/((s)
is regular in that half-plane and by the same reasoning, we deduce the
for Re(s) > 1. If we define Riemann hypothesis. In fact, it is not hard to show that (1.4) is equivalent
to the Riemann hypothesis.
Our goal in this paper is to formulate automorphic generalizations of
the Pdlya conjecture and (1.4) and then investigate when we can expect
them to be true.
then, by partial summation, we have There is a related conjecture of TurAn [TI, namely that the sum
f (z) = C a ( n ) n y e(nz)
where e(z) = e2"iz, as usual. Then, which is of independent interest. Thus, from the previous equation, we
have
Theorem 2.2 Suppose that L(s, f ) # 0 for 112 < s 5 1 and that
ord L(s, f ) 5 1.
Now, let us observe that from (1.1), s=1/2
1 if n is a square Then,
din
0 otherwise. Sf (4 := C a, ( n ) W
nsz
numerator is regular by a celebrated theorem of Shimura [Sh]. Thus, the Theorem 2.3 Assume the Riemann hypothesis for L(s, f ) and suppose
right hand side of (2.6) is regular for Re(s) > a with a < 112. We also know that L(s, f ) has a zero at s = 112 of order r. Suppose further that all
that L(2s,sym2(f)) does not vanish on Re(s) = 112. Thus L(s, f ) has no zeros of L(s, f ) on Re(s) = 112 are of order 5 r - 1 apart from s = 112
zeros for Re(s) 2 112 which is a contradiction. This deals with the case and that the analogue of (2.10) is satisfied. Then,
L(1/2, f ) # 0. If now, L(1/2, f ) = 0, and s = 112 is a simple zero, then
C(2s)L(s, f ) is non-zero at s = 112. Thus, L ( S s , ~ ~ m ~ ( f ) ) / ( ( 2 s )f ~) ( s ,
is regular for Re(s) 2 112. But this is a contradiction since L(s, f ) has
infinitely many zeros on Re(s) = 112. where p,-1 is a polynomial of degree r - 2.
0 Here is an indication of the proof. For the sake of simplicity we shall
It is easy to give examples of f which satisfy the hypothesis of Theo- suppose all zeros of L(s, f ) apart from s = 112 are simple. The sum
rem 2.2.
Thus, the modular analogue of P6lya's conjecture is false in general. A
necessary condition for it to be true is that L(1/2, f ) = 0 for then the right
hand side of (2.6) will have a singularity at s = 112. can be written for c > 1,
It is quite possible that if E is an elliptic curve with large Mordell-Weil
rank, then
S E (= ~ C a(n)X(n)lJ;E 2 0
nsz by Perron's formula. We will choose T = T j with T~+ooalong an appro-
for all x sufficiently large. priate sequence that doesn't coincide with any ordinate of a zero of L(s, f ) .
Gonek [Go] and Hejhal [He] have independently conjectured that for Moving the line of integration to the left and picking up the residues arising
Riemann zeta function, we should have from the zeros of L(s, f ), we obtain
where the summation is over zeros of the zeta function. If we suppose that
all the zeros of L(s, f ) are simple (apart from the zero at s = 1/2), then
the analogue of the above is
+
where C denotes the semi-rectangular path beginning at c iTj to a iTj +
and then to a - iTj ending at c - iTj. The horizontal and vertical integrals
are easily estimated by the functional equation. For the sum over zeros one
can use +
Murty and Perelli [MP] have shown that almost all zeros of L(s, f )
are simple if we assume the Riemann hypothesis for L(s, f ) and the pair
correlation conjecture for it. For the discussion below, we do not need an
estimate as strong as the above estimate. If r is the order of the zero at or the more general (2.10), which is a modular analogue of a conjecture of
s = 112, what is actually needed is that the order of every zero on the i
Gonek [Go]. Breaking up the sum over the zeros into dyadic intervals of
9
critical line have order 5 r - 1 and one would need a similar estimate for type [U, 2U] we obtain an error term of
for sufficiently large x. Unlike the Turan case, these sums are not partial
sums of the corresponding series at the edge of the critical strip. They have where the implied constant is independent of M .
the disadvantage of being the partial sums of the series at the center of the
critical strip. It is not difficult to show that these series actually converge Proof We have
at the center of the critical strip (see for example, [KM]).
Thus, we see that if the modular analogue of the P6lya conjecture is
true, then so is the modular analogue of the TurAn conjecture.
4 Automorphic analogues
Let L(s, n) be an automorphic L-function on GL(n). If n is self-dual, then and the inner sum is by an estimate of Rankin [Ra], o ( ( M / ~ ) ' / ~ from
)
it is reasonable to ask if which we easily deduce the stated estimate.
0
&(x) = C an(n)A(n) > 0. The interest in knowing the asymptotics of such sums is due to the
nsx
following:
Certainly the Riemann hypothesis for L(s, s ) follows from
Theorem 5.2 Suppose that
where
where a(n) = a (n). Vaughan's identity can be stated in the following way. al(n) = X(n) ifn 5 U
It is based on the formal identity:
and write
+ + +
as S1 S2 S3 S4 with appropriate notation. We now suppose that
the a(n) are the coefficients (normalized) of our eigenform f . By Cauchy-
Schwarz and Rankin-Selberg, we easily deduce that S1 << U. We can write
Set
Note In the tables, only the integer part for SE is given. We write S for
By hypothesis, the inner sum is << ( ~ / m ) ~ l ~som that' we get S4 << SE(n - lo6) in the tables below.
x1+'/&. We choose V = x1j2 and U = X-o get a final estimate of 1
x ~ / ~ +Thus,
'. L(s, f ) has no zeros for Re(s) > 314.
7 Concluding remarks
It is clear that the obstacle in proving a quasi-Riemann hypothesis is really
the estimation of the sum S4.It is interesting to note that if the sum
are positive, then one can get the following estimate for S4:
which is
which by Theorem 5.1 gives a final estimate of xl+ '/v2l3which would give
a quasi Riemann hypothesis.
i
192 Some Remarks on the Riemann Hypothesis M. Ram Murty
Note In the tables, only the integer part for TE is given. We write T for
TE(n lo6) in the tables below.
194 Some Remarks on the Riemann Hypothesis tI M. Ram Murty
I
References
[EM] J. Esmonde and M. Ram Murty, Problems in Algebraic Number The-
~f ory, Graduate Texts in Mathematics, 190 (1999), Springer-Verlag.
Here is an irreducible representation of GL(n, F,) appearing in the obtained by composing nu, with the natural homomorphism from P(IFq)
space of functions on the flag variety of GL(n, F,); St,,, is the Steinberg to L(IFq). By [Lu1,5] we know that EndG(Fq) (p) can be identified with
representation, and is the trivial representation of GL(n, F,) . We are @[W(Bn-2 )]. Therefore the irreducible representations of G(Fq) occurring
using the well known formula for the dimension of a cuspidal representation in p are in one to one correspondence with the irreducible representations
of GL(n, IF,) as (9-1) . . . (9"-l- 1). We could easily check that this equality of W(Bnb2). Let pi be the irreducible component of p corresponding to
remained true for characters of all unipotent elements too for these small the i-th exterior power representation of the reflection representation of
values of n by looking into character tables. The aim of the paper is to give W(B,-2). Similarly, when G = SO2, (n > 4), take the Levi subgroup
a generalization of this phenomena for all groups simple modulo center. L E (Gm)n-4 x S o 8 . We know that S0(8,1Fq) has a unique unipotent
An irreducible representation p of G(IFq) is called unipotent if it arises cuspidal representation nu,. Let p be constructed as above. It follows by
as a component of RF(1) for some T. If T is a split torus then RF(1) = [Lu1,5] that Endcpq)(p) can be identified with C[W (B,-4)]. Let pi be
the irreducible component of p corresponding to the i-th exterior power
1 n d (1)~ where
~ ~B is ~ a Borel subgroup containing T, defined over IFq . It
. .. representation of the reflection representation of W(Bn-4). We state our
is well-known that EndG(Fq) G(F,)) (1)) can be identified with the group
(IndB(Fq main theorem below.
algebra C[W]. Therefore the irreducible representations of G(IFq) occur-
G(F )
ring in IndB(F:),(l) are in one to one correspondence with the irreducible Theorem 1.1 Let G be a split classical group, and let O, denote the char-
acter of a representation n. With the notations as above, we have the
representations of W over @. It is known ([Stn,l4]) that the exterior pow-
following
ers of the reflection representation of W, to be denoted by E throughout
this paper, are irreducible and mutually inequivalent. Let Xi be the irre- (a) ForG(Fq) = G L ( n + l,IFq) (n 2 0),
ducible component of IndB(,;)G(F ) (1) corresponding to the i-th exterior power
corresponding to the i-th exterior power representation of the reflection ~ nP2 (F,d) (4') ( ~ 1 n~d ~ $ ~(4')
~ and ) respectively corresponding to the i-th exte-
representation of W'. rior power of the reflection representation of of W(A1) for i = 0 , l .
When L = L3 = G, we have two unipotent cuspidal representations of
Theorem 1.2 With the notations as above, E7(Fq) denoted by E7[C]and E7[-C] as in [Ca,13.9]. Then, by theorem 1.2
(i) if G is a simple algebraic group of type E6,E7, then, we get,
(iii) If G = F4, then same as in (a) except that the term corresponding
to P = G has instead of all the 7 unipotent cuspidal representations References
of G2(Fq) , only 4 which can be specified as F4[B],F4[02],F4[i], F4[-i]
following the notations in [Ca, 13.91. [Ca] R.W. Carter, Finite Groups of Lie Type, Wiley Interscience, 1985.
(iv) If G = Es, then same as i n (a) except that the term correspond- [DL] P. Deligne and G. Lusztig, Representations of reductive groups over a
ing to P = G has instead of all the 13 unipotent cuspidal repre- finite field, Ann. of Math. 103 (1976), 103-161.
sentations of E8(pq), only 6 which can be specified as E8[c](i = [Lull G. Lusztig, Irreducible Representations of Finite Classical Groups,
1,. . . ,4), E8[6],E8[e2]fo~~owing
the notations i n [Ca, 13.91. Invent. Math. 43 (1977), 125-175.
To illustrate the theorem 1.2 we take the case of G = E7. The Levi [Lu2] G. Lusztig, Characters of Reductive Groups over a Finite Field, Ann.
subgroups of E7 which have unipotent cuspidal representations are Lo I of Math. Studies 107 (1984), Princeton University Press.
(Gm)7,Ll 2 SO8 X (Gm)3, L2 E6 X G , and L3 = G.
The quotient root system arising from Lo is the root system of type [Stn] R. Steinberg, Endomorphisms of Linear Algebraic Groups, Memoirs
E7, and 4 = 1 is the unique unipotent cuspidal representation of (Fq*)7. of AMS 80 (1968).
Hence, di = Ti is the irreducible component of Ind,(F:)(l)
G(F ) corresponding
MEHTARESEARCH INSTITUTEOF MATHEMATICS
A N D MATHEMATI-
to the i-th exterior power representation of the reflection representation of
CAL PHYSICS, CHHATNAG ROAD,JHUSI,ALLAHABAD,
INDIA-211019.
W(E7). E-mail: dprasad@mri.ernet.in
he quotient root system arising from L1 is of type C3. Let $ = a,,
be the unique unipotent cuspidal representation of SO(8, IFq). Let gi[D4]be
MEHTARESEARCH INSTITUTE OF MATHEMATICS
AND MATHEMATI-
the irreducible component of ~ n d g(4) , corresponding to the i-th
- A . ' CAL PHYSICS,CHHATNAG ROAD,JHUSI,ALLAHABAD,
INDIA-21
1019.
exterior power representation of the reflection representation of W(C3) for
E-mail: nilabh@mri.ernet.in
i = 0,1,2,3.
The quotient root system arising from Lz = E6 x G m is of type Al.
Let $' = E6[e] and 6" = &[e2] be the two unipotent cuspidal represen-
tations E6(Fq). Let &[&] and #[E6] be the irreducible components of
W. Kohnen and J . Sengupta
2 Notation
For s E @ we usually write s = a + it with a , t E R.
Nonvanishing of Symmetric Square
3 Statement of result
L-functions of Cusp Forms Inside the Critical
Let k be an even integer 2 12 and let Sk be the space of cusp forms of
Strip weight k with respect to the full modular group I?l = SL2(Z), equipped
with the usual Petersson scalar product ( , ). For f (z) = En,,
a(n)e2""'
( z E 71: = upper half plane) a normalized Hecke eigenform in Si (recall that
Winfried Kohnen and Jyoti Sengupta normalized means a(1) = I), we denote by
1 Introduction
By [7,8], D f(s) has a holomorphic continuation to C,and the function
Let f be a normalized cuspidal Hecke eigenform of integral weight k on
the full modular group SL2(Z) and denote by D j (s) (s E @) the symmetric
square L-function of f completed with its archimedean I?-factors. As is well-
known [7,8], Dj(s) has a holomorphic continuation to @ and is invariant satisfies the functional equation
under s ct 2k - 1 - s. Note that by [3], Dj (s) (up to a variable shift) also
is the standard zeta function of a cuspidal automorphic representation of
GL(3), and so by [4] zeros of Dj(s) can occur only inside the critical strip
k - 1 < Re(s) < k. According to the generalized Riemann hypothesis, the Let { f k , ~.,. . ,fk,gk } (gk = dim Sk) be the basis of normalized Hecke
zeros of Dj(s) should all lie on the critical line Re(s) = k -4. eigenforms of Sk.
The last statement of course is far from being settled. On the other Theorem 3.1 Let to E IR and 0 < c < f. Then there exists a positive
hand, it turns out to be comparatively easy to prove non-vanishing results constant C(to,r ) depending only on to and r such that for k > C(to,c) the
for D j (s) on the average. For example, in 161 Xian-Jin Li used an approxi- function
mate functional equation for an average sum of the Dj(s) to show that for 9k
1
i, +
any given s with k - 1 < Re(s) < k, s # k - ((s - k 1) # 0, there are
C D;k," ( 4
infinitely many different f such that D;(s) is not zero. .= 1 Cfk,., fk,.)
In the present note, using a different approach we will prove that given does not vanish at any point s = o + ito, k - 1 < o < k - $ - c, k - $ + c <
any s with k - 1 < Re(s) < k, Re(s) # k - $, then for all k large enough o < k.
there exists a Hecke eigenform f of weight k such that Dj(s) # 0. For the
proof we use a "kernel function" for D j (s) as given by Zagier in [8] and Corollary 3.2 Lets E @ befied with k - 1 < o < k, o # k - $. Then for
then proceed in a similar way as in [5], where a corresponding result for all k large enough there exists a normalized Hecke eigenform f in Sk such
Hecke L-functions was proved. that D;(s) # 0.
204 Non vanishing of Symmetric Square L-functions
References
[I] N. Abramowitz and I. Stegun, Handbook of Mathematical Functions,
Dover, 1965.
Symmetric Cube for GL2
[2] T. Apostol, Introduction to Analytic Number Theory, Springer, 1976.
[3] S. Gelbart and H. Jacquet, A Relation between automorphic represen-
tations of GL2 and GL., Ann. Sci. E.N.S. IV ser. 11 (1978), 471-542: Henry H. Kim* and Freydoon shahidit
[4] H. Jacquet and J. A. Shalika, A con-vanishing theorem for zeta func-
This article is in connection with a talk given by the second author
tions of GL,, Invent. Math. 38, (1976/77), 1-16.
at the International Conference on Cohomology of Arithmetic Groups, L-
[5] W. Kohnen, Non-vanishing of Hecke L-functions associated to cusp functions, and Automorphic Forms, Tata Institute of Fundamental
forms inside the critical strip,.J. of Number Theory 67 2 (1997), 182-189. Research, December 28, 1998 through January 1, 1999. At the time of the
conference all we had was [KSh2] in which, using an idea of Kim [Kil],[Ki2]
[6] X.-J. Li, On the poles of Rankin-Selberg convolutions of modular forms, and the machinery of Eisenstein series [Ll], [L4], [Shl], [Sh2], we proved the
Trans. Amer. Math. Soc. 348 3 (1996), 1213-1234. holomorphy of symmetric cube L-functions for GL2. Striking as this result
was (see the introduction of [KSh2]), we were still far from the existence of
[7] G. Shimura, On the holomorphy of certain Dirichlet series, Proc. Lon-
symmetric cube of an automorphic form on GL2 as one on GL4. Since this
don Math. Soc. 31 (l975), 75-98.
is now accomplished in [KShl], using the same general machinery and ideas,
[8] D. Zagier, Modular forms whose Fourier coeficients involve zeta- but completely different L-functions, we find it more appropriate to report
functions of quadratic fields, in Modular Functions of One Variable on this new development rather than a result which is now an immediate
VI (ed. J.-P. Serre and D. Zagier), SLN 627 Springer-Verlag, (1976), corollary. The second author would like to thank Professors M. S. Raghu-
105-169. nathan and Venkataramana for their invitation and hospitality during the
conference and the rest of his month visit to Tata Institute of Fundamental
UNIVERSITAT HEIDELBERG, MATHEMATISCHES INSTITUT,IM NEUEN- Research in the winter of 1999.
HEIMERFELD288, D-69120 HEIDELBERG, GERMANY
SCHOOLOF MATHEMATICS, TATA INSTITUTEOF FUNDAMENTAL
RESEARCH, HOMIBHABHA ROAD,MUMBAI400 005, INDIA 1 New instances of functionality
E-mail: sengupta@math.tifr.res.in
We recall the definition of modular forms [S]. If fj denotes the upper half
plane of complex numbers z for which Im(z) > 0, and given a positive
integer N, rN is the principal congruence subgroup
then a modular form of weight k with respect to I', rNc I' c SL2(Z) is a
holomorphic complex function f on fj* = u Q u {ioo), satisfying
f (z) = C ~,,e'"~""
to a fixed character of F*\A;, center of GL2(AF). We will further assume
that they are infinite dimensional which amounts to being cuspidal, i.e., for
each cp in the subrepresentation
satisfying 7
or more generally Here is a sketch of how Theorem 1.4 follows from Theorem 1.5.
1 1 5
spondence. But - - - = Similarly at the archimedean places.
The map must be functorial in the sense that, if nl, corresponds to 6 51 34'
0
{tl,) C GL,(C) and Tau corresponds to {tau) c GLn(C), then
Corollary 1.6 ([KShl]) a 2 8 w, = Sym3(n), i.e., symmetric cubes exist.
It is functorial everywhere. Moreover, it is cuspidal unless either n or Ad(n)
In fact, more generally, the map p, must respect the local Langlands corre- is monomial, i.e., there exist non-trivial grossencharacters q and 77' such
spondence of Harris-Taylor [HT] and Henniart [He]. More precisely, if pl, that Ad(n) @ q r Ad(n) or n 8 q' n.
and pa, are representations of Deligne-Weil group which parametrize n1, This is very important. We must therefore recall what sym: is. This
and n2,, respectively, then p l , 8 p2, must parametrize nl, IBn2,, and there- time consider the map
fore (p, (nl ,n2)), = nl, El n2,, where n1, n2, corresponds to plv @ p2,.
Let us call p, (xl, nz), satisfying these properties, the functorial product of
nl and ~ 2 .
defined by action of GL2(C) on symmetric tensors of rank 3. In other
Theorem 1.5 (Kim-Shahidi [KShl]) Suppose m = 2 and n = 3 . Then words, if P ( x , y) is a homogeneous cubic form in two variable, sym3(g),
p, exists and is functorial except possibly at places 4 2 for which nl, is g E GL2(C), is the matrix in GL4(C) which gives the change of coefficients
extraordinary supercuspidal while 7r2, is a supercuspidal representation of in P(x, y), if we consider the form P, (x, y) = P((x, y)g). It is a homomor-
GL3(Fv) defined by a non-normal cubic extension of F,. In this case, II, = phism and therefore a 4-dimensional irreducible representation of GL2(C),
(nlv IXI n2,) 8 q . det, with q at most a quadratic character of F,* and II = called the symmetric cube representation of (the standard representation
8,IIv = p*(nl ,n2). Moreover, ll is an isobaric (cf. [JS], [L2]) automorphic of) GL2(C).
representation of GLs (AF ) . More precisely, there exist (unitary) cuspidal Y Similar maps can be defined for any m and it is very important to define
<
i
representations a, of GLni(AF), 1 5 i
ol I33a2B.-.Ha,.
r , Gin, = 6 , quch that II = 1 Sym" The map sym: was established by Gelbart-Jacquet [GJ] in 1978.
Since then, many experts have been interested in getting sym:. There are
serious and important applications. For example sym; has been very im-
Remark For the last statement one needs the weak Ramanujan conjec- portant to Langlands-Tunnel and therefore Wiles' proof of Fermat's last
ture for GL(2) and GL(3) which is proved in [Ra]. Assuming this conjecture problem. We expect similar influence when Wiles' program starts seriously
for all GL groups, the fact that ll = a1 H - a,, must be true for all m for Siegel modular forms of rank 2. In fact, the image of sym3 lies ir-
and n. reducibly inside G S p ( 4 , C ) and will allow us for example to study Siegel
210 Symmetric Cube for GL2 Henry H. Kim and fieydoon Shahidi 211
modular forms of weight 3 as images of modular forms of weight 2 under We finally point out how these new cases are proved. One applies an
sym: and so on . . . . appropriate version of converse theorems of Cogdell-Piatetski-Shapiro [CP]
As yet another example, let n be a positive integer and consider the to L-functions obtained from the method of Eisenstein series initiated by
natural embedding of Langlands [Ll], [L4] and developed by Shahidi [Shl], [Sh2], . . . . In the case
of GL2 x GL3, one needs to prove that the triple L-functions for n1 @ 7r2 @ a
on GL2(AF) x GL3(AF) x GLk(AF), k = 1,2,3,4, where a is an irreducible
We expect a map cuspidal representation of GLk(AF), are nice. In view of this converse
theorem, this means that when twisted by a highly ramified (at a finite set
of finite unramified places of F) grijssencharacher of F, they are:
S. Gelbart, Automorphic forms on adde groups Ann. of Math. [LRS] W. Luo, Z. Rudnick and P. Sarnak On the generalized Ramanujan
Studies 83, (1975). conjecture for GL(n), Proceedings of Symposia in Pure Mathe-
matics 66, Part 2 (1999).
S. Gelbart and H. Jacquet, A relation between automorphic forms
on GL(2) and GL(3), Ann. Sci. Ecole Norm. Sup. 11 (1978), [Ra] D. Ramakrishnan, On the coefficients of cusp forms, Math. Res.
471-542. Lett. 4 (1997), 295-307.
S. Gelbart and F. Shahidi, Boundedness of automorphic L- [Shl] F. Shahidi, A proof of Langlands conjecture on Plancherel mea-
functions in vertical strips Journal of AMS, (to appear). sures; Complementary series for p-adic groups, Ann. of Math.
132 (1990), 273-330.
M. Harris and R. Taylor, On the geometry and cohomology of
some simple Shimura varieties, preprint . [Sh2] F. Shahidi, On the Ramanujan conjecture and finiteness of poles
for certain L-functions, Ann. of Math. 127 (1988), 547-584.
G. Henniart Une preuve simple des conjectures de Langlands pour
GL(n) sur un corps p-adique, Invent. Math. 139 (2000), 439-455. [sl G. Shimura Introduction to the Arithmetic Theory of Automor-
phic Functions, Princeton University Press, (1994), .
H. Jacquet and J. Shalika, On Euler products and the classi-
fication of automorphic forms 11, Amer. J . Math. 1 0 3 (1981), HENRYH. KIM, DEPT. OF MATH. SOUTHERN ILLINOIS
UNIVERSITY,
777-815. CARBONDALE, IL 62901.
E-mail: henrykim@math.siu.edu
H. Kim, Langlands-Shahidi method and poles of automorphic L-
FREYDOON SHAHIDI,DEPT. OF MATH.,PURDUE
UNIVERSITY,
WEST
functions: Application to exterior square L-functions, Canad. J.
LAFAYETTE,IN 47906.
Math. 5 1 (1999), 835-849.
E-mail: shahidi@math.purdue.edu
H. Kim, Langlands-Shahidi method and poles of autornorphic L-
functions 11, to appear in Israel J. Math.
H. Kim and F. Shahidi, Functorial products for GL2 x GL3 and
functorial Symmetric Cube for GL2, preprint.
H. Kim and F. Shahidi, Symmetric cube L-functions for GL2 are
entire, Ann. of Math. 150 (1999), 645-662.
R. Langlands, On the functional equations satisfied by Eisenstein
series in SLN 544 Springer-Verag, (1974).
R. Langlands, Automorphic representations, Shimura varieties,
and motives Ein Marchen in Proc. Symp. Pure Math. 33, Part
I1 (1979), AMS, 205-246.
R. Langlands, On the classification of irreducible representations
of real algebraic groups, in Representation Theom and Harmonic
Analysis on Semisimple Lie groups, Mathematical Surveys and
Monographs (P.J. Sally, J r and D.A. Vogan ed.), 31 (1989) AMS,
101-170.
R. Langlands, Euler Products, Yale University Press, (1971).
Dinesh S. Thakur
1.1 Let us motivate the introduction of the next level basic objects by ask-
ing for objects giving rise padic Galois representations, for p E Spec(A),
rather than 1-adic representations for 1 E Spec@). So instead of the mul-
tiplicative group, elliptic curves, abelian varieties, which provide us with
L-functions and Modular Forms in Finite natural abelian groups, i.e., Z-modules, with interesting Galois actions on
their 1"-torsion; we look for interesting A-modules, so that we can look
Characteristic* a t @-torsion. Because of the linearity of p-power map in characteristic p,
the additive group (or its power) already provides good enough interesting
Dinesh S. Thakur candidate.
In characteristic zero, Z or Q works as a canonical base. Here we have
to decree A as a base, so we look at A-field L, y : A -+ L (or A-scheme S,
We will describe the emerging theory of L-functions and modular forms 7 :A -+ r(s,os)).
in the setting of function fields over finite fields. Instead of the more familiar Then the basic object 'Drinfeld A-module over L of rank r (a positive
complex valued L-functions of Artin and Weil attached to function fields, integer)' is just a non-trivial embedding p : A v EndL(Ga) = L{F} (which
or complex valued automorphic forms of Jacquet-Langlands and Weil (or sends a E A to a polynomial pa E L{F} in Frobenius), such that
p-adic or mod p objects of Serre, Swinnerton-Dyer, Katz) or motives of
degF pa = T deg a
Grothendieck, our focus will be on different objects with values in finite
characteristic: not in finite fields, but in huge fields which are analogues (such an equality is automatic for some positive integer r) and ?(a) being
of complex numbers. This theory seems to be quite rich in its structure the constant term of pa. (Over S , we will be looking at a line bundle
and at the same time challenging in that it is not yet well-understood even (locally free sheaf of rank 1) C I S with p : A -+ Ends(C) having degree and
conjecturally. constant term conditions as above and with unit leading coefficient).
Our plan is to give a quick introduction to (1) Basic underlying objects: If the kernel of 7 is 0, p is said to be of generic (zero or infinite
Drinfeld modules and higher dimensional motives, (2) Analogues of Rie- being possibly confusing terminology) characteristic, if the kernel is g (e.g.,
mann and Dedekind zeta functions: arithmetic of special values, (3) Char- L = Alp), then p is said to be of characteristic p. (So we can imagine the
acter spaces and general L-functions: analytic properties and zeros, (4) reduction theory over finite A-fields easily).
Modular forms and L-series, (5) Connections with classical function field May be the simplest example is when A = IFq [t], so that one can arbi-
case, (6) Results on Galois representations. trarily specify the image pt of the generator t (for general A one needs to
satisfy compatibility conditions to get a ring homomorphism) : The Carlitz
1 Basic objects +
module corresponds to the choice pt = t F. This is a rank one module of
generic characteristic with 'good reduction' everywhere.
Morphism 4 : p + p' over L is just 4 E L{F} satisfying 4p = p'4.
1.0 The bottom level objects are: A complete non-singular curve X over
a finite field IFq of characteristic p, a point oo on it, the ring A of functions
on X with no poles outside oo, the function field K of X, its completion 1.2 For an ideal I, define I-torsion to be
K, and the completion C, of an algebraic closure of Kw. The simplest
AI := {z E C, : pi(z) = 0, for all i E I}.
case, as well as the case where the analogies work the best, is that of
the projective line, the usual point a t infinity, the polynomial ring IFq [t], So we can form the Tate module leading to 'padic cohomology7realization.
the rational function field IFq (t), the laurent series field IFq ((lit)) and the For K, c L, we can define exponential e = e, to be an entire function
corresponding C,. The classical counterparts for A, K , Kw and C, are (i.e., everywhere convergent power series) e : C, -+ C, satisfying e(az) =
Z, Q,$ C respectively. Note that A (Z respectively) is a Dedekind ring pa(e(z)) (to be compared with en' = (ez)"). Its kernel A is A-lattice
discretely embedded in K, (B respectively) with compact quotient. (projective A-module discrete in oo-adic topology) of rank r over L (i.e.,
'Supported in part by NSF grants Gal(K,&,/L)-stable) and leads to 'Betty cohomology' realization.
214
216 L-functions and Modular Forms in Finite Characteristic Dinesh S. Thakur 217
Deligne, using analogy with 1-motives, defined 'de Rham cohomology ' eigenvalues of the matrix corresponding to a are all $a); i.e., at the Lie
realization to be dual of ~ i e ( p #where
) p# is the universal additive extension
O+G,+p#+p+O.
level the matrix is y (a)Inxn +N , where N is a nilpotent matrix. Morphisms
are t-equivariant morphisms of algebraic groups.
There are appropriate comparison isomorphisms relating these realiza- The dual notion is that of t-motive M (M := HomL(E,Ga) is the
tions, leading for example to cycle integration map, periods, quasi-periods t-motive corresponding to E), which is a left L{t, F)-module (this is a
etc. non-commutative ring: tl = It, t F = F t , but F l = P F , for 1 E L) free
and finitely generated as L{F}-module and with (t - y(t)jn M I F M = 0.
1.3 Riemann hypothesis for p over finite fields L (extension of Alp) is Morphism is then just a L{t, F)-linear homomorphism. The dimension is
almost built in the formalism: The absolute values 'of roots of the charac- the L{F)-rank and the rank is the L[t]-rank.
teristic polynomial of ql := #L-th power F'robenius map on the v-adic Tate In general, the exponential e~ : Ck + C& corresponding to a t-motive
module are all 9:". So these are 'pure motives' of weight l/r. can fail to be surjective, in contrast to the Drinfeld module situation and the
Note that one crucial difference is [C, : K,] is infinite, in contrast to conditions for the failure of the uniformizability are not well-understood.
the [C : R] = 2, so that one can have lattices of any rank, in contrast to the
classical case and hence weights are not restricted to be half-integral. In the 1.6 Purity has also to be enforced: M is pure if it is free and finitely
rank one situation, classical analogues are multiplicative group (or elliptic generated as L[t]-module and there is a L[[l/t]]-lattice W in M((1lt)) such
curve with complex multiplication), so the kernel of the exponential also that FsW = t9 W, with s,g > 0. If the top degree (in F ) coefficient of the
gives analogue ii of 27ri. In rank 2, classical analogue would be an elliptic matrix corresponding to t is invertible, then M is pure. For pure motives,
curve and for higher ranks we do not have good classical analogue. This Riemann hypothesis is again built in with weight equal to dimension over
is why Drinfeld could use rank n Drinfeld modules to study Langlands rank.
conjectures over function fields for GLn, for any n, rather than for just There is a natural notion of tensor products of t-motives: we take tensor
n = l,2. products over L[t] and let F act diagonally. Ranks multiply and weights
add in a tensor product.
1.4 Postponing discussion of this for now, we just mention that for Carlitz
module K(A,) are good analogues of UC,)(with the Galois group (A/a)* 1.6.1 For example, the n-th tensor power of the Carlitz module (to be
analogous to (Z/n)*) and for general A, adjoining all torsion of suitably compared with Tate twist motive Z(n)) then turns out to be
normalized rank one p to K (together with the constants in q), we get its
maximal abelian extension tamely ramified at oo explicitly. To get the full
maximal abelian extension (analogue of Kronecker-Weber theorem) one has
to just repeat this trick with another choice of oo and take the compositum. where N = ( n i j ) is the nilpotent matrix with n,,,+l = 1 for 1 5 i < n
The Carlitz part (for IFq [t]) of this explicit global class field theory of Hayes and the other entries zero; and E = (eilj) is the elementary matrix with
was done much before Lubin-Tate's local theory. en,l = 1 and the other entries zero. This is a pure, uniformizable t- motive
of rank 1 and dimension n. (This shows that if we need tensor powers of
Drinfeld modules, we need to generalize to higher dimensions and also allow
1.5 Drinfeld modules are one dimensional objects. The higher dimen- the addition of nilpotent matrices at the tangent level).
sional theory was initiated by Stuhler, Gross, Anderson. Stuhler, Drinfeld,
Laumon etc. developed the moduli point of view for Langlands conjec- 1.7 Anderson then gives simple constructions for the realizations of a t-
tures, whereas Greg Anderson developed very useful arithmetic theory of motive M: The Betti realization is HomA(Kernel(eM),K ) (if we want it to
concrete (non-commutative) linear algebra type individual objects, coined commute with the tensor products, we need to tensor with the differentials).
't-motives', boiled down from Drinfeld shtukas. The gadic realization is HornA, (T,(M), K,). The de-Rham realization is
For simplicity, we will focus on A = IF, [t]. Basically, n-dimensional t- F M / ( t - ~ ( t )F)M , with i-th piece of the Hodge filtration being the image
module E over L is a certain embedding of A into EndL(G:), which is a of (t - y(t))'M r l F M in it. All these abstract objects thus become concrete
ring of n cross n matrices with entries in L{F), where at the tangent level objects involving matrices with entries being polynomials or power series in
218 L-functions and Modular Forms in Finite Characteristic Dinesh S. Thakur 219
Fkobenius with coefficients in various fields. The thorough analysis of the function respectively) and the other co-ordinates involve analogue of hyper-
resulting formalism has not been carried out yet. geometric function that I had defined and studied.
2.5 By taking relative norms, we can define relative (Dedekind type) zeta
2 Zeta functions: Special values functions Z(s). For abelian, totally real (i.e., split at co)extension of degree
2.1 Let us start with the simplest case: the zeta function for A = F, [t]. d, Goss (and myself in a little more generality) proved that 2(s)/irdS is
Instead of Artin-Weil's zeta function XI+, Norm(1)-s E @ (for Re(s) > I), algebraic.
which turns out to be a rational function in u := qTS even for general A Classically counterpart of this was proved by Siegel, without the 'abelian'
and is just 1/(1 - qu) for our case A = Fq[t], Carlitz considered a rich hypothesis, but such a result is not expected for extensions which are not
transcendental function CA(s) := CnEA+ n-' E K , for s E W (note that totally real. On the other hand, in our case similar result holds for (non-
there is no pole at s = I), where A+ stands for set of monic polynomials. totally real) galois extensions of degree a power of p. Classically, all the
So instead of using norm, which retains only the degree information, we values at negative integers are zero in the non-totally real case and in our
retain the whole polynomial, sacrificing (only initially as we will see) for a case such is not a true as the possibilities for the ramification at oo are
smaller domain. much more varied. In fact, Siegel's result is derived from a corresponding
result at negative integers via the functional equation for the Dedekind zeta
function.
2.2 Carlitz proved analogue of Euler's evaluation of the Riemann zeta
values a t positive even integers: For 'even' m i.e. for m a multiple of
np
q - 1, [ ~ ( m )= -Bmifm/(q - l ) n ( m ) , where n ( m ) = pmp E ,'FI [t] with 2.6 In our case, no such functional equation is known in absolute or rela-
m, = C Lm/ N ~ r m ( p ) is
~ jan analogue of factorial function (for example tive case. So we get two distinct analogues of Bernoulli numbers: one from
because of its analogous prime factorization above) and B, E F,(t) is zeta values at positive (even) integers and one from negative integers. The
analogue of Bernoulli number, defined by a similar generating function: following analogues of Kummer-Herbrand-Ribet theorems suggest a closer
z/e(z) = C Bmzm/II(m). connection between these two families nonetheless:
(Goss-Okada): If for an even k between 0 and qdeg(~) - 1, the k-th
2.3 David Goss showed that if the defining sum is grouped according component of the (p-part of the) class group of the ring of integers of
to the degree, then it becomes a finite sum for a negative integer s and K (A,) is non-zero,'then p divides Bk.
hence [(s) E Fq[t] then and it is zero precisely at negative 'even' integers (Goss-Sinnott): For k between 0 and qdeg(d - 1, the k-th component
in analogy with Riemann zeta function. Since the sums are finite, the of the (p-part of the) class group of K(A,) is non-zero if and only if g
Fermat's little theorem leads to Kummer congruence on the zeta values a t divides <(-k) (if <(-k) is zero, one replaces it by '/3(k)' obtained from it
negative integers leading to padic interpolations of zeta, once we remove by throwing some known trivial factors contributing to the zero).
an appropriate Euler factor a t p. Note that in our case, s + 1 - s does not interchange 'even' to 'odd'.
F'urther the fact that parities are off with the classical counterpart is linked
with the failure of reflection principle (spiegelgungsatz). Also, the well-
2.4 Using the concrete description of Cmmabove, Anderson and I showed
known properties of Bernoulli numbers split up: Bm's satisfy analogues
that for any positive integer m, <(m) is a (canonical co-ordinate of) loga-
of von-Staudt and Sylvester-Lipschitz theorems, whereas <(-k)'s satisfy
rithm (for Cmm)of an (explicitly constructed) algebraic point, which is a
Kummer congruences as mentioned before.
torsion point of Cmmprecisely when m is 'even'. There is also analogous
padic result. An analogue of Hermite-Lindemann theorem on exponen-
tial and logarithm, proved in this setting by Jing Yu, then implied that 2.7 I have defined analogues of Gauss sums for function fields by mixing
< ( m )is transcendental for all m and that <(m)/iim and cp(rn) are also Carlitz-Drinfeld cyclotomic theory (which yields analogue of additive char-
transcendental if rn is not 'even'. acter) with traditional cyclotomic theory of constant field extensions (which
The canonical co-ordinate of logarithm (exponential respectively) for yields analogue of multiplicative character). They satisfy analogues of the-
Cmm turns out to be a deformation of the naive rn-th multilog (m-th Bessel orems of Stickelberger, Gross-Koblitz, Hasse-Davenport, Weil. Also I have
220 L-functions and Modular Forms in Finite Characteristic Dinesh S. Thakur
defined analogues of gamma function (generalizing the gamma function for Note that the usual integers j sit in S, as (n-j, j).
Fq[t] of Goss obtained by interpolating the factorial mentioned above) and This exponent space of Goss is a small piece of the character space:
established functional equations, some connections with periods of Drinfeld We have n = ~ - ~ ~ g ( ~ )So ( nthe
) . image x E C& of n-' determines the
modules and t-motives of Chowla-Selberg type etc. homomorphism on the cyclic group T" and keeps track of the degree. On
But these two ingredients which come up classically in functional equa- the other hand the one-unit group is isomorphic to the product of countably
tions have not yet fit to give any kind of functional equation type result. many copies of Z,. A small piece of the resulting huge endomorphism group
of the one-units is cut out by choosing them to be of the form (n) + (n)y
2.8 Classically the orders of vanishing of zeta function at negative integers for y E Z.,
are linked with the nature of gamma factors in the functional equation. We have (nlnz)s = nIn$, nsof s1 - nSonsl. On a Z p x Z,, we also have
The following examples that I gave show that underlying theory of orders (nsO)sl = nsOs1. Here we add (multiply respectively) the exponents by
of vanishing (this will make sense in setting of the next section) has to be multiplying the C& components and adding (multiplying respectively) the
quite different in our case: If q = 2 and A is hyper-elliptic of genus g, then i Z, components.
the order of vanishing of CA at negative integer -s is always expected to
be one by naive analogy. But if (and seems only if) the sum of the base 3.2 To make sense of s-th power of an ideal, note that ( ), from the monic
2 digits of s is more than g it is two (i.e., there is extra vanishing with ,f3 elements of K& to the uniquely divisible group of one-units, has a unique
mentioned in 2.6 also being zero, so that 2.6 implies non-vanishing of class extension to ideals, since the ideals modulo the principal ideals generated
group components for every p). There are examples for other q, as well as by monic elements is a finite group. So we define ISas xdeg(') ( 1 ) ~ .
examples of extra vanishing for the relative zeta functions even when the
base is IFq [t], where the analogies usually work the best. 3.3 In a p-adic situation, Goss uses the exponent space
The exact orders of vanishing in general or the arithmetic significance
of the leading terms is not yet understood even conjecturally.
using the usual decomposition n = Teichmuller (n)(n)p.
2.9 Finally we just mention that developing the analogies with theory
of partial differential equations of KdV type, Anderson introduced soliton
3.4 We can then define zeta and L-functions with values in finite charac-
theory in function field arithmetic and proved many interesting results on
teristic by replacing the exponentiation of norms with complex numbers in
zeta and gamma values producing, for example, an interesting new analogue
the classical definitions with the ideal exponentiation defined above.
of cyclotomic units and Vandiver conjecture.
For example, for a Drinfeld module (or t-motive) p over a scheme S,
Goss defines the L-function as
3 Zeta functions: Analytic theory L(p/S, s) := n Det (1- Frob, ~ o r m ( z ) - ' [(pz))-l,
~~
In this section, to avoid technical complications, we assume that oo is a
place of degree one. Let .?r be an uniformizer at oo (eg. l / t for Fq[t] case).
3.1 To extend the domain of the zeta function, for a monic n, we want to
define ns for a larger space of exponents s. Classically
I
I
where the product runs over the closed points z of S, the pz is a reduction
of p at z, Norm(z) = p["z:Alp] if z is over a prime p of A and v # p. The
determinant is known to be a polynomial (with A-coefficients) independent
ofv.
entire functions. For p over a finite extension L of K , if the top coefficient 4.3 Modular form of weight k (nonnegative integer), type m (integer mod-
of p is in Oi,then the L-function is entire. The technique used by Taguchi ulo q - 1 (or rather the cardinality of Det (I')c I$))for r is f : R + C,
and Wan is Dwork's theory of L function of F-crystal and it provides a +
satisfying f (yz) = (Det ( ~ ) ) - ~ ( c zd)-k f ( z ) , for y E I' and which is rigid
F'reedholm determinant expression for it. There is also a corresponding holomorphic and holomorphic at cusps.
padic result. Since dq, = -qkdz (in contrast to dq = cqdz), the holomorphic differ-
entials correspond to double-cuspidal forms.
3.6 As for the distribution of the zeros of the zeta function is concerned,
Daqing Wan proved the following version of 'Riemann hypothesis' for the 4.4 Coefficient of Fi in pa (where a is fixed) is a modular form of weight
case A = IFp [t]: For any given y, if [(x,y) = 0, then x is real i.e., x lies in qi - 1, where one considers the coefficient as a function of the lattice A
K, (rather than in its infinite extension C, where it can lie a priori). corresponding to p. eg., if we write rank 2 Drinfeld module for IFq[t] as
I noticed that such a statement can be reduced to an optimization prob- + +
pt = t g F A F 2 , then as A + A/\, (g, A) + (A1-qg, A'-q2h)) as we can
lem solution stated (with inadequate proof) by Carlitz. Using this, my easily see from the commutation relation Fl = P F . In fact, j := gq+l /A
student Javier Diaz-Vargas gave a simpler proof in the case of IFp [t]. For a is a weight 0 modular function parameterizing the isomorphism classes of
non-prime q, the breakthrough came with Bjorn Poonen's proof of Carlitz these Drinfeld modules. (Compare the elliptic curve situation). Also note
assertion for q = 4. Helped by it, Jeff Sheats, a combinatorist at Ari- that if A vanishes, we get a degeneration of the Drinfeld module to rank
zona, completely proved the Carlitz assertion and this version of Riemann one. This corresponds to the fact that A is a cusp form.
hypothesis for IFq[t]. As an analogue of Dedekind product formula into cyclotomic factors:
The implications of these results on the zero distributions are not yet
well-understood.
Because of this total multiplicativity, we can associate 4.7 Once we have this integration theory, we define the L-functions as
usual by Mellin transforms: J tS-ldpCf. Goss defines a two variable (s E
S,) L-function as before by exponentiating positives and also a one variable
(s E Z,) by exponentiating one units. These take values in the representa-
but then this Dirichlet series is indexed by a E A whereas the 9,-expansions tion space above. So for weight 2, we have C,-valued L-function.
are indexed by n E Z and the usual connection C cnqn H C cnnbSdoes not For A = IF, [t] and the full modular group, We have a functional equation
make sense. (The arithmetic meaning of the 9,-expansion coefficients is not
understood even for the Eisenstein series. For Eisenstein series associated to Lf (s) = ( - l ) ' - m ~ f (k - s).
totally real fields, the q,-expansion has not been understood : This is one
reason why we have not yet been able to imitate Siegel's proof mentioned We also have the formula
in 2.5 and remove the abelian hypothesis there).
4.6 There are other ways to attach L-functions to f due to the work of
Drinfeld, Schneider, Teitelbaum, Gekeler and Goss which we now describe: for the coefficients of q,-expansion f (z) = C aj&.
Let z be co-ordinate on Q. Let Special values and links to the arithmetic of 9,-expansion need to be
investigated further.
U := {P E Q : 9-' < Iz(P)l < q, lz(P) - A1 > 9-', for A E F,}.
4.8 The existence of this finite characteristic valued L-function and such
Then translates U(y) of U by y E GL2(K,/GL2(0,) give a special rigid
L-function defined by Goss for Grossencharacters (which can be thought
covering of R. Associated to it we can define an infinite homogeneous tree
of as GL1-automorphic forms with finite characteristic values)' suggests
+
7 with q 1 edges leaving every vertex, where the opens U(y)'s correspond
that there might be C,-valued automorphic (or modular) L functions
to its vertices and the overlapping annuli correspond to the edges. Drin-
attached to C,-valued representations. Such representations are not well-
feld constructed this as tree of norms and it is also the usual Bruhat-Tits
understood so that it is not known whether for some good class of such
building for PGL2(K,).
automorphic adelic representations, we can imitate Langlands type local
Modular form of weight k and type m for I? gives rise to a I?-invariant
component definition of L-functions.
harmonic cochain (i.e., function c on (oriented) edges e of 7 such that
C,,, c(e) = 0 and c(e) = -c(e-)) cf of weight k and type m (i.e., with
values in V ( l - k, 1 - m)). Here V is the standard two dimensional rep- 5 Relations with characteristic 0-valued
resentation of GL2(C,) and V(n, i) := (Det )%@ symn-' (V*) (essentially
space of homogeneous forms in two variables X and Y of degree n - 1) and theory
V(-n, -2) := Hom(V(n, i), C,).
In fact, cf(e) is given on the basis by 5.1 Both the double coset space in 4.1 used in the definition of the
automorphic forms (zero characteristic valued) and R in 4.2 used in the
Res, (f) ( x ' Y ~ - ~ - ~=) Resezif (z)dz, definition of modular forms (finite characteristic valued) are linked with
7. In fact, Drinfeld set up a natural bijection between harmonic cochains
where the residue is in the annulus corresponding to e. The Eisenstein on 7 of weight 2 with values in F and F-valued automorphic forms which
series have zero residues, but for k 2 2, the residue map is an isomorphism transform like a special representation at component at m. Analyzing this
between the space of cusp forms of weight k and type m for a group I' correspondence together with Teitelbaum's correspondence mentioned in
and the space of harmonic cochains of weight k and type m for I?. In fact, 4.6, Gekeler and Reversat showed (at least for A = IF, [t], there seem to be
the inverse process is integration: A harmonic cochain c gives rise to a some technical difficulties in general) that double cuspidal modular forms
'measure' (we will not go into the technicalities of this integration theory) of weight two, type one, and with IFp-residues (such forms generate over C,
pc on Pk_ (which can be identified naturally with the set of ends of 7) those with C,- residues, i.e., the usual C,-space of such modular forms)
and f ( z ) = Sp dpc (x)/ (z - x) for the cusp form f . are the reductions mod p of the automorphic cusp forms special at m.
226 L-functions and Modular Forms in Finite Characteristic Dinesh S. Thakur 227
For higher weights and ranks the connection between the modular forms with the level I structure. We can then attach a finite characteristic L-
versus the automorphic forms is not well-understood. function to it, by applying the procedure in 4.7 to the weight 2 cusp form
obtained by the pullback of the invariant differential on the elliptic curve.
5.2 At the usual L-functions level, Goss had earlier observed a congruence Using shtukas and trace formulas, Lafforgue has recently proved Ramanu-
relation between classical and finite characteristic versions: If jan-Peterson conjecture for cuspidal automorphic representations for GL,
over function fields for n odd.
Very recently (June 99), Lafforgue has announced the proof of GL,
then W/pW S A l p and the Teichmuller character w : (Alp)* -+ W* Langlands for function fields, using moduli of Shtukas.
satisfies wk(a mod p) = (ak mod p) mod p, so that we get that mod
p reduction of Artin-Weil L-function L(w-", u) E W(u) is essentially the 6.2 For Drinfeld modules over finite fields, the analogue of Tate isogeny
mod p reduction of the finite characteristic zeta (appropriately matching theorem and Honda-Tate theorem was proved by Drinfeld (and Gekeler).
the Euler factors) value a t negative integer s. Combined this together For Drinfeld modules of generic characteristic, the analogue of the Tate
with the fact that Artin-Weil L-functions are polynomials, Goss deduced conjectureJFaltings theorem was established by k a g a w a and Taguchi.
integrality and vanishing statements for the finite characteristic zeta values Taguchi also proved the semisimplicity of the Galois representation on the
at negative integers. Tate module, for both finite and generic characteristic Drinfeld modules.
[GPRG] E.-U. Gekeler et al, Drinfeld modules, modular schemes and Theorem 1.1 Let h =
n n+l
+
2 and let fl ,f 2 , . . . ,f h be Siegel modular
applications, Proceedings of Alden-Biesen conference (l996), forms of degree n and weights kl, k2,. . . ,kh respectively. Then there exists
World Scientific Pub. (1997). an isobaric relation,
i n the sense that the degree of f over C(fl , . . . ,f,) depends o n the choice
of f l , . . . , f s ).
The elements tl, . . . ,t , i n a commutative ring containing C as a sub-
ring, are algebraically independent if the monomials nl,,,,t:', Ui € N are 3. However, Q, is non rational if n 2 i ([2]).
linearly independent over C .
A basic tool to prove all these kinds of results is the so called Dimension
Theorem 1.5 The field Q, is an algebraic function field of transcendence formula. In this lecture we aim at deriving the Dimension estimate for the
space of Siegel Modular Forms of degree n, the method is essentially due
degree over C i.e., every modular function of degree n is a ratio-
to Hans Maass [3].
nal funciton of +1 special modular functions. These functions are
algebraically dependent but every n(n + 1 ) / 2 of them are independent.
2 Siegel modular forms
The existence of algebraically independent modular functions
in Q, has been established by C.L. Siegel, Satake, Christian, Mumford, The Siegel upper half plane degree n 2 1 is the set of symmetric n x n
Andreotti and Grauert. complex matrices having positive definite imaginary part:
Fn = { Z =X + iY E 3Cn
+
(i) 1 det(CZ D) I 1,>
(ii) Y is Minkowski reduced,
(iii) If X = ( x k c )then = f 5 xkc 5 f
G k is the Eisenstein series of weight 2k given by (Y is "Minkowski reduced" if Y = (yij) then
Automorphic Forms for Jacobi Modular Groups T.C. Vasudevan 233
(according to M. Koecher, the last condition is automatically valid for Assume that a(T) = 0 for all T with o(T) < where
n > 1).
Any such f has a Fourier expansion s, = sup u(Y-1).
Z€FnZ=X+iY
Then f ~ 0 .
where the summation is only over n-rowed semi integral T 2 O(tii E Lemma 2.3 Let s, = sup o(YW1). Then s, is finite and sl < - .. < s,.
Z, 2tij E Z), and u(TZ) denotes the trace of the matrix T Z . ZEFn
f (2) x a ( ~exp
) 27rio(TZ).
T>O
Moreover, there exist constants Cl (n),C2(n) > 0 such that
det ( f ( 2 ) I < Cl exp(-c2 (det Y)'/"), vz E H,.
Proof (of Lemma 2.2) We use induction on n. In the case n = 1, we
<
know that f vanishes identically for k 0 and that if k > 0, k f (mod 2).
Also, using the following the dimension formula for M,k for k even, If T is such that o(T) > 9then
[A]+ 1 if k f 2 (mod 12)
a(T) - nX
-> -ks, - nX
-- ks, - [-]-1>-1
-- ks,
dim M: =
[A] - 1 if k E 2 (mod 12) 27r 47r 27r 4lr 47r
i.e., o(T) - 2 0 (since o(T) is an integer) .
we find that if a(t) = 0 for
+
Now we choose w = [ iq such that q 1 -v where v > 0 and also such
[&I + 1 if k $ 2 (mod 12) +
that Z = Zo WE(") E Hn. NOW
o<t<
[A] - 1 if k 1 2 (mod 12) ' I t I= exp(-27rq) < exp 27rv = p > 1.
then f i 0. Now sl = 2 and [A] < & I: A s l . The lemma follows for In I I < p, g(t) is holomorphic and by the maximum modulus principle,
v3
n = 1.
Let us suppose that the lemma is true for (n - 1) instead of n. Let
But
f E M,k satisfy the assumption in the lemma. Now
I g(t) 1=1 f ( 2 ) I e x p ( W Y ) )
where Y = Yo + qE(,).
is a modular form of degree (n - 1) for which ao(Tl) = 0 since a(Tl) <
asn-' (We note that ao(Tl) = a ( 2E)
and s,-1 5 s,). By induction
hypothesis then f I 4 0. f reduces to a cusp form. Let us now assume On the other hand,
that f ( 2 ) = &>Oa(T) exp 2aio(TZ) E M,* is a cusp form satisfying the
condition that
ksn
a(T) = 0 for all T with o(T) < -.
47r
236 Au tomorphic Forms for Jacobi Modular Groups
k
h(q) = Xns - - log det Y
2
+ -k2 log det Y.
Also, 1 < p = exp(-2nq) implies that exp 27rq = < 1 (or) q = 1 Restriction Maps Between Cohomologies of
P log f <
O. Now h(0) = 0 and Locally Symmetric Varieties
T.N. Venkataramana
reductive Qgroup associated toeh Shimura variety S(I') and Af the ring If I' c G(Q) is a torsion free congruence arithmetic subgroup, we then
of finite adeles over Q. obtain that S ( r ) = I'\X is a manifold covered by X and is also orientable;
The criterion of Theorem 3.3 can be used to prove nonvanishing of cup- the orientation on X descends to one on S ( r ) (note that the same conclusion
+
products of cohomology classes a , a' of degrees m, m' with m m' 5 n, holds even if only the image of I' in the group Gad = Glcentre is torsion-
where S(T) = I'\D, and D is the unit ball in @ (see Theorem 3.4). free; we will use this remark later in Section (1.9)).
The details of the proofs will appear elsewhere. In the present paper,
we will give only a brief outline of the proofs . This paper is an expanded Definition 2.3 (The Compact Dual 2) Let g, l, p be the complexifi-
version of a talk given by the author at the "International Conference on cations go @ @,to @ @ and po 63 @ respectively. One has the imbedding
"Cohomology of Arithmetic Groups, L-Functions and Automorphic Forms" go v g induced by the imbedding G(R) C G(@). Let g, v g be the real
held at TIFR during December 28, 1998 - January 1, 1999. subalgebra of g given by
gu = =o @ ipo
2 Preliminary notation: definition of the and let Gu c G(C) be the (connected) subgroup with Lie algebra 8,. Then
Gu is a maximal compact subgroup of G(@). Clearly Gu > K,. The
restriction map and of cycle classes quotient 2 = G,/Kw is called the compact dual of the symmetric space
X = G(R)/K, . The restriction of the negative of the Killing form on g,
Notation 2.1 Let G be a semisimple algebraic group over Q. Write G as
an almost direct product of Qsimple groups Gi(l 5 i 5 r): to the tangent space igo at the identity coset eKw of 2 is a K,-invariant
metric on 2. Under this metric, 2 is a compact symmetric space.
As in Notation 2.2, we sp;! that 2 is also orientable with an orientation
preserved by G,. Thus H n (X, C) is one dimensional. Let wc be a generator
Assume that Gi(lW) is noncompact for each i 5 r. Let At be the ring of c):
of ~ " ( 2 ,
finite adeles over Q Under the assumption on Gi, the closure of Gi(Q) H ~ ( W , C )= C W ~ .
in Gi(Af) is a non-discrete totally disconnected locally compact group.
Denote by Gf the closure of G(Q) in G(Af ). Definition 2.4 (Harmonic Forms on 2) Under the metric on 2
Let K C G be a compact open subgroup. Then I'dfn= KnG(Q) c G(R) defined in Definition 2.3, the space of Harmonic forms on 2 (by a T h e
is called a congruence arithmetic subgroup of G(Q). If K is small enough, orem of Cartan) may be identified with
then I' is torsion-free.
Here Cm(r\G(R))(0) is the space of smooth functions in I'\G(R) killed by Proposition 2.7 (Structure of H'(ShOG) is a module over Gf))
the Casimir of g.
(I) The Gf -module H'(ShOG) is smooth and admissible.
Taking direct limits on both sides of Equation (2.2) as vaires through
congruence arithmetic subgroups of G(Q) we obtain (2) The Gf -module H'(ShOG) is an algebraic direct sum irreducibel rep-
resentations 7rf of Gf , each occurring with a finite multiplicity m ( rf ):
r' of I'. The orientability of 2 and Poincard duality for ~ ' ( 2 imply
) the existence
-
where again, the direct limit is over the congruence_s_ubgroups
The map j : M + S(I') induces an immersion j : M + X and hence of a class E H"-"(Z) such that
induces immersions j ( r r ) : A'\G -+ I'\X = S ( r r ) . Thus the system . . A
We denote the class by [GIand will refer to [GIas the dual cycle-class
associated to M. Note that
on the direct limits. Now Gf acts on H'(ShOG). For each g E G f , consider
the composite
j,*= j* o g : H'(ShoG) -+ H0(S&).
We thus get a map and that
where the direct limit iz over all the congruence subgroups I?' of , A' = degree 2 0 on the compact dual 2 and generates ~ ~ ~C)=( H n2 ( z , C ) .
j -'(T)
and WH E H m(Y, @) is a generator. Here m = dim Y = dim(ponho) Note that upto scalar multiples, L is the Kahler form on 2 associated to
and Y = H , / K ~is the compact dual of Y ( and H, = Lie subgroup of the Kahlerian metric on 2 = G,/K, induced by n.
H(@) with Lie algebra to n Bo @ i(po n bo) = Bu ) . Thus the cycle class
[SH(r)] may be defined, as in Definition 2.9 (with w g replaced by wH). Definition 2.13 (Subvarieties of S ( r ) ) Let X be a Hermitian symmet-
Define the linear form Xo : H m ( Z ,C)+ C by the equation ric domain as in Definition 2.12. Let r c G(Q) be torsion-free; assume that
h
G is anisotropic over Q. Then S ( r ) = r \ X is known to be a smooth projec-
j*(a) = Xo(a)wH for all a E H m ( Z , @ ) . tive variety ([B-B]); moreover it is known that the G(R)-invariant metric
<, > on X defined to Notation 2.2 is Kahlerian and that the associated
Here, : 9 + 2 is the imbedding induced by ju; H, += G, which in turn, (1,l)-form (the Kahler form) on S ( r ) is a multiple of L.
is induced by jc : H(@) -t G(@), and : Hm(X,@) + H ~ P = ) CwH is Let M be a smooth projective variety of (complex) dimension d (and
the pullback map. By Poincare duality for He(.@, there exists an element, real dimension 2d) and let j = j ( r ) : M += S ( r ) be a morphism of pro-
denoted [?I, in H " - ~ ( Z ) such that jective varieties which is an immersion (as in Definition 2.8). Since L is
(proportional to) a Kahler form on S(F), it follows ([G-HI) that its pullback
j*(L) to H2(M,@) is a Kahler form on M (with respect to the restriction
of <, > to M). Consequently
Lemma 2.11 Let [SH(r)] be the dual cycle class as in Definition 2.9.
Then j*( L ~ )generates H ~ ~ ( C)
M ,= C. (2.6)
1
We take w,- (see Definition 2.9) to be j*(Ld).
The proof is immediate from the definitions (note: w y = WH, in Defini- 1
tion 2.9).
Thus n defines an element of space of Gf-invariants in Vr is spanned by the dual cycle class [MI E
~n-m(W).
We denote this element by L. (2) Let w E He(ShOG)be such that Res(w) = 0 (Res is the restriction
The real dimension n of X is 2 0 , where D is the complex dimension i
map defined in (1.7)). Then the following cup product (in He(ShOG))
h
of the Hermitian symmetric domain X. Then LD defines a closed form of , vanishes : WA[M]= 0 .
246 Cohomologies of Locally Symmetric Varieties T.N. Venka taramana 247
Proof Since (by Proposition 2.7) Hn-m(ShOG) is a (possibly infinite) Suppose Res(w) = 0, w E H 0 ( S ( r ) ) . Then in particular jii,-,(w)) = 0.
direct sum of irreducible GI-modules, it follows that so is the submodule By the Gysin exact sequence we get
Vr . Now Vr is a cyclic G -module with a cyclic vector [MI E Hn-m(S(r)).
Therefore the space of GI-invariant linear forms on Vr is of dimension at
most one. The complete reducibility of Vr now shows that the space of
GI-invariants in Vr is also of dimension at most one. Write i.e., gwhBi(&) = 0, ( i = 1,2,. . . ,r). Taking the sum over all i, and using
Equation (3.I), we get
is nondegenerate, whence we get q = [GI. This gives (1) of Theorem 3.2. as in Definition 2.10, and the map 3 : 9 -+ 2 of compact duals of Y and
Fix g E GI. Let K' C K n g K g - l be an open subgroup which is normal X respectively. We then have
in K . Write I" = K' n G(Q) C I?, and let (in the notation of Definition 2.8)
A' = j;l(rl). We get an immersion j ( F ) : A'\% -+ r t \ X = S(rl). Let Theorem 3.3 (1) Let Vr be the Gf -span of the cycle class tr = [SH(r)]
in Hn-"(ShOG). Then the space of Gf -invariants in Vr is spanned
by the dual cycle class [PI.
Write K as a disjoint (finite) union of cosets of !
I
(2) If Res; H'(ShOG) -+ n
H'(ShOH) is the restriction map, and
Res(w) = 0 then WA[P]= 0.
It can easily be proved that Proof Theorem 3.3 is immediate from Theorem 3.2 and Lemma 2.11.
0
variety of dimension d (of real dimension 2d), mapping immensively into Then Lefschetz's hyperplane section Theorem says that w = 0 if
s(r)=r\x: m < d. This proves (1).
j = j ( r ) : M -+ S(l?).
2. If X is the unit ball in CD, then 2 is the projective space PD(C) and
Now Equation (2.6) of Definition 2.13 shows that the dual cycle class
for any M as in (2) of Theorem 3.4, [GIE H ~ ( ~ - ~ )=( C PL~ ~) - ~ .
[GI-#0. (We assume that S ( r ) is compact, as before). Thus (1) of Theorem 3.4 applies (we are using here the fact that
> ) (0 5 i 5 d ) ) .
H ~ ~ ( P ~ ( @=. CLi
Theorem 3.4 (1) Let X be an irreducible Hermitial symmetric domain
and j : M + S ( r ) an immersion of a smooth projective variety M . 3. If X is irreducible, then ~ ~ (C)2= ,C (as can be easily proved by
Suppose [G]is a multiple of L ~ - ~ (=Ddim(X)). Then the restric- noting that K , acts irreducibly on p+). Therefore [GIE H 2( 2 , C)
tion map is a nonzero multiple of L. Now (1) applies.
Res : Hm(ShoG)+ Hm(S&)
9EGf 4. Now (4) is a special case of (3), and (5) follows from (2).
is injective for all integers m < d = dim M (i.e., M satisfies the weak 0
Lefschetz property).
Definition 3.5 (Cup Products) Assume G is as in Notation 3.1. We
(2) Let j : M -+ S ( r ) be an immersion, with d = D - 1. Then M satisfies consider the diagonal imbedding of G in G x G. Note that if N is a manifold
the weak Lefschetz property. , and wl, w2 are cohomology classes on N , then the restriction of wl 8 w2
(a class on N x N ) to the diagonal N is the cup-product w1hw2 on N. We
(3) Let X be the unit ball i n CD and l? c AutX = G a cocompact (con-
gruence) arithmetic subgroup. Let j : M + S ( r ) = l?\X be an view the compact dual 2 as being imbedded diagonally 2 x 2,and denote
immersion. Then M satisfies the weak Lefschetz property. by [A(*)] the d u d cycle class in
(4) Suppose that G(R) = SU(n, 1) (upto compact factors) and that H (R) =
SU(k, l)(k 5 n) upto compact factors with G, H Q-algebraic semisim-
ple groups. Suppose j : H -+ G is a morphism of algebraic groups, (where n = dim 2).
such that j : Y + X is a holomorphic map of Hermitian symmetric
<
domains. Then for all m k, the restriction map Theorem 3.6 (1) Let wl, w2 E H'(ShOG) be such that gwlAw2 = 0 for
Res: Hm(ShoG)-+ n
9EGf
Hm(ShoH)
all g E Gf . Then
(WI8 w~)A(A[?])= 0.
Remark Part (4) in Theorem 3.4 was conjectured by Harris and Li and
proved by them modulo a "base change conjecture" (see [H-L]) . Proof (I) is immediate from (2) of Theorem 3.2.
To prove (2) we use (1) of Theorem 3.6. In the case when X is the unit
Proof 1. By the criterion (2) of Theorem 3.2, if m < d and w E ball in CD, we have 2 = PD(@). Therefore there exist complex numbers
Q, ~ 1 ,. . ,CDsuch that
h
is injective. Now (1) and (2) prove that HP7Q(M1)# 0 for some suitable
Use equations (3.3) and (3.4) and compute the Kunneth components of M'.
both sides of (3.4): 0
References
In particular, we may take k = D -m in Equation (3.5). Then D - k = m 5
D - m' by assumption. By Lefschetz's Theorem on hyperplane sections, [B-B] W. Baily and A. Borel, Compactifications of Arithmetic Quotients of
Bounded Symmetric Domains , Ann. of Math. 64 (1966), 442-528.
w l ~ ~ D #- k0 and W ~ A L ~ - #~ 0.'
[B-W] A. Bore1 and N. Wallach, Continuous Cohomology, Discrete Sub-
This contradicts Equation 3.5. Hence Theorem 3.6 follows. groups and Representations of Reductive Groups, Ann. of Math. Stud-
ies 94 (1980), Princeton University Press.
We will now assume that I' c SU(D, 1) is a (torsion-free) congruence
arithmetic subgroup with compact quotient. Thus S ( r ) = I'\X (X = unit [C] L. Clozel, Motifs et Formes Automorphes in Automorphic forms and
ball in e D ) is compact. Assume that H1 (S(l7)) # 0 (by a Theorem of Shimura Varieties, Ann Arbor, 1 , Perspectives in Math. 10 (1990).
Kazhdan (see [K]) there exist (many) arithmetic subgroups of SU(D, 1) [H-L] M. Harris and J-S. Li, Lefschetz properties for subvarieties of Shimura
with this property). Let M be a smooth projective variety of dimension Varieties, J. of Algebraic Geometry, 1998.
d ( 5 D) , and j : M + S(I') a morphism of varieties which is an immersion.
[K] D. Kazhdan, Some applications of the Weil Representation, J . Analyse
Theorem 3.7 With the foregoing hypotheses, there exists a finite covering Math. 32 (1977), 235-248.
M' of M such that the Hodge components
SCHOOLOF MATHEMATICS, TATA INSTITUTEOF FUNDAMENTAL
RESEARCH, HOMIBHABHA ROAD,MUMBAI400 005, INDIA
E-mail: venky@math.tifr.res.in
for all p, q 5 dim M = d.
+
Proof By Hodge symmetry, we may assume that p q 5 d. Fix p,q.
It is enough to produce a finite cover M' such that Hp,,(Mt) # 0. Now
H1*O(S(r))# 0 by hypothesis. Then (2) of Theorem 3.6 ensures that there
exists a finite cover S(I") = F'\X such that